Compliance Officer, Finance & Banking

This job posting is anticipated to remain open for 30 days, from 25-Jun-2026. The posting may close early due to the volume of applicants.

Join a financial services firm where your contributions are valued.

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.

• 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: communications 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.

• Provide conflict management, effective communication and problem‑solving skills with financial advisors, branch staff, leaders, peers and others in the firm.

• Independently identify trends and patterns in contacts from branch and home office associates to develop a plan if follow‑up or escalation is required.

• Identify, educate, and communicate potential concerns to branch teams or home office associates.

• Contribute to team project work.

• Work in collaboration with internal business areas to identify opportunities for policy revisions in alignment with a culture of compliance.

• Develop skills for transition to a role requiring broader compliance responsibility.

• Bachelor's degree preferred or equivalent work experience required.
• Series 7 license required within 6 months.
• 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.

Candidates that live within a commutable distance from our Tempe, AZ and St. Louis, MO home office locations are expected to work in the office four days per week.

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 401(k) 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.

Qualified applicants with arrest or conviction records will be considered for employment in accordance with the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act. Edward Jones is prohibited from hiring individuals with certain specified criminal history as set forth in Section 3(a)(39) and 15(b)(4) and Rule 17a‑3(a)(12) of the Securities and Exchange Act of 1934, and conducts background reviews consistent with FINRA Rule 3110(e).

A copy of a notice regarding the provisions of the Los Angeles County Fair Chance Ordinance is available in the public domain.