Team Leader - Compliance Service

This job posting is anticipated to remain open for 30 days, from 23-Jul-2026. The posting may close early due to the volume of applicants.

Join a financial services firm where your contributions are valued. Edward Jones is a Fortune 500¹ company where people come first. With over 9 million clients and 20,000 financial advisors across the U.S. and Canada, we’re proud to be privately‑owned, placing the focus on our clients rather than shareholder returns.

Behind everything we do is our purpose:
We partner for positive impact to improve the lives of our clients and colleagues, and together, better our communities and society. We are an innovative, flexible, and inclusive organization that attracts, develops, and inspires performance excellence and a sense of belonging.

People are at the center of our partnership. Edward Jones associates are seen, heard, respected, and supported. This is what we believe makes us the best place to start or build your career.

View our Purpose, Inclusion and Citizenship Report.

¹Fortune 500, published June 2024, data as of December 2023. Compensation provided for using, not obtaining, the rating.

• Lead a team responsible to provide the firm with guidance and understanding of firm's compliance policies.
• Ensures excellent service to branch teams and home-office through phone and written inquires.
• Acts as the main voice of the branch team for the compliance division by overseeing work to conduct analysis, collecting insights, and then sharing those insights, to influence changes to policy communication or interpretation.
• Partners with other service areas across the firm (service division, HC division, etc.) to consult with and understand the compliance intersections and collaboration opportunities.
• As a team leader, attracts and develops talent to meet the growing needs of the firm.
• Ensures service agreements are met, accountable for the daily operations of the area.
• Apply strategic thinking through assessment of statistical insights from branch contacts and partner with Compliance Analytics and business stakeholders to develop changes to firm policies and procedures
• Interpret analysis and partner with training areas across the firm to increase understanding and retention for branch teams and home office associates of compliance policies and procedures.
• Lead complex and/or technical projects related to regulatory policies and processes.
• Represent the department to other business areas of the firm, industy regulators, and participate in industry conferences.
• Provide guidance and handle escalations from home office and division stakeholders regarding regulatory policies and procedures, some of which may be complex and may involve rule interpetation.

• Bachelors degree required or equivalent experience
• Series 7 & 66 (or equivalent) required or with requiste experience
• 9 & 10 (or equivalent), and 24 required within 12 months
• Graduate level degree and/or industry certification(s) is preferred
• Minimum of 5 years experience in financial services is required
• Minimum of 1 year in people or project leadership role or increased levels of responsibilities required
• This position requires broad product knowledge as well as knowledge of both industry regulations and firm policies and processes

• Required to have excellent communication skills and the ability to deliver difficult messages.
• Required to make numerous daily judgement calls that can impact the firm, financial advisor, client, and Compliance Officer.
• Must identify, recommend and implement solutions regarding team processes, systems, regulations, resource allocation and controls. Must provide direction to those responsible to them to help make informed decisions.
• Must have knowledge of technology and tools available to identify and implement solutions and create process efficiencies for the team in a high-volume, deadline‑driven environment.
• Conflict resolution and appeals of decisions from financial advsiors, regional leaders, or other leaders in the home office.
• Ability to make difficult decisions in gray areas when little or no regulatory guidance is available
• Ability to interpret…