Compliance Officer II

Responsibilities

• Provide education and training on general Compliance policies and processes in response to inquiries from branch team and home office associates, via phones, written case requests and other tools or systems; common support topics include:
  • Communication with the public: social media, text messaging, sales correspondence, advertising, speaking engagements, FA bios and invitations
  • Custodial Account disbursements and Rule 3210
  • Support of general topics for Branch Audit and Record retention and
  • Compliance manual policies
• Continually tailor solutions to various audiences in a fast-paced autonomous environment while quickly identifying branch needs and providing proper solutions
• Identify trends and patterns in branch and home office contacts to determine if follow-up or escalation is required and act as an escalation point for CO I
• Coach, educate and communicate potential concerns for general compliance or compliance manual policies to team members, branch teams and home office associates
• Staff the assist line in support of development and training of new associates
• Provide input into training and assist with observation and coaching to CSO and COI
• May lead small department projects or act as a subject matter expert
• Work in collaboration with internal business areas within the firm to drive policy revisions and updates
• May assist with oversights, monitoring, and assignment of workflow

• Bachelor's degree preferred or equivalent work experience required
• Series 7 license required that is currently active and held for a minimum of one year
• Series 66, 9 and 10 licenses required within 6 months
• Series 24 license available for development but may be required for advancement opportunities
• 2+ years compliance experience strongly preferred

Edward Jones does not discriminate on the basis of race, color, gender, religion, national origin, age, disability, sexual orientation, pregnancy, veteran status, genetic information or any other basis prohibited by applicable law.

Edward Jones' compensation and benefits package includes medical and prescription drug, dental, vision, voluntary benefits (such as accident, hospital indemnity, and critical illness), short- and long-term disability, basic life, and basic AD&D coverage. Short- and long-term disability, basic life, and basic AD&D coverage are provided at no cost to associates. Edward Jones offers a 401k retirement plan, and tax-advantaged accounts: health savings account, and flexible spending account.

Edward Jones observes ten paid holidays and provides 15 days of vacation for new associates beginning on January 1 of each year, as well as sick time, personal days, and a paid day for volunteerism. Associates may be eligible for bonuses and profit sharing. All associates are eligible for the firm's Employee Assistance Program. For more information on the Benefits available to Edward Jones associates, please visit our benefits page.