Sr Compliance Officer

Job Overview

Join to apply for the Sr Compliance Officer role at Edward Jones
. This role is full‑time and is anticipated to remain open for 30 days, from 28‑Nov‑2025, but may close early due to the volume of applicants. The Compliance Service Department’s purpose is to serve as the primary resource for branch teams and home office areas to understand and apply compliance policies that enable and accelerate the branch team and client experience.

The department is primarily responsible for providing guidance on general Compliance policies and processes in response to inquiries from branch teams and home office associates via phone, Service Requests and other tools or systems. Responsibilities of the role will impact branch teams and other home office areas while promoting a culture of compliance. Associates use conflict management, effective communication, and problem‑solving skills with financial advisors, branch staff, leaders, peers, and others in the firm.

Seniority level: Associate.
Employment type: Full‑time.
Job function: Legal.

$72,700.00/yr – $/yr

• Uses knowledge of the industry, regulatory and compliance environment and firm business functions and takes it into account when making decisions.
• Build relationships and collaborate with compliance division stakeholders to identify and prepare for changes impacting clients and branch teams.
• Influence and contribute to firm, division or department efforts which could include:
• Provide training, coaching and feedback to optimally create and maintain a strong learning environment and culture of compliance.
• Utilize OE/process improvement to organize and facilitate small to mid‑size projects and/or act as a subject matter expert.
• Identify and analyze insights and communicate trends to influence solutions that impact the delivery of an ideal client experience.
• Promote, support and incorporate the change management philosophy to department and division initiatives.
• Employ system thinking and continual improvement to enhance the client experience.
• Initiate department improvements and informally lead associates through escalations, oversights, projects and/or change.
• Understand and apply firm and industry policies and regulations to business decisions.
• Communicate with senior leadership across the division and firm.

Minimum: $72,700.00 – Maximum: $

• Bachelor’s degree or equivalent experience required.
• Series 7 license required that is currently active and held for a minimum of one year.
• Series 9, 10, 24, and 66 licenses are required or must be obtained within six months of hire.
• Minimum three years of compliance experience.
• Minimum five years of industry experience.
• Strong written and verbal communication skills.
• OE or process improvement experience preferred.

• Resolve complex issues through interpretation and application of industry regulations and firm business practices.
• Ability to identify and provide guidance when a situation needs to be escalated.
• Demonstrate strong communication skills with the ability to deliver difficult messages to various stakeholders.

• Ability to collect, analyze, educate, coach and act on relevant information to make decisions, considering impact to the client and/or firm.
• Use seasoned judgment to identify trends from insights and act as a conduit with key stakeholders and within the department.
• High critical thinking skills, sound judgment and systems thinking are required to manage multiple priorities, resources and initiatives.
• Few decisions have a well‑defined decision path to follow.
• Autonomy to apply policy interpretation to individual situations when no established business practice or precedent exists.
• This position operates with a high degree of autonomy regarding prioritization of work, time management and decision making.

• Broad responsibility to handle routine to complex situations involving interpretation and application of compliance manual, firm and regulatory policies.
• High degree of influence and informal leadership by guiding home office associates and firm stakeholders on decision making on individual…