Field Supervision Director - Client Protection

Description

Edward Jones is seeking an experienced compliance professional to join the Field Supervision‑Senior Client Protection Team. This team monitors and supervises the activity of senior client accounts to identify and mitigate potential exploitation, including matters related to trusted contacts, diminished capacity, senior fraud, and other types of financial abuse. Reviews may be focused on specific client situations as well as branch team trends related to senior clients.

• Partner with branch teams and Field Supervision Directors to protect senior clients, provide subject matter expertise, and promote awareness of senior client protection practices.
• Conduct timely, thorough reviews of senior client cases to identify risks (e.g., diminished capacity, exploitation) and take appropriate action to resolve issues.
• Monitor, analyze, and document senior client activity and branch‑level trends to identify patterns, support data insights, and determine when further action is needed.
• Coach and educate branch teams on mitigation strategies, best practices, and handling complex senior client situations.
• Proactively engage with senior clients and authorized parties to address concerning account activity and ensure client well‑being.
• Collaborate cross‑functionally (e.g., legal, financial risk prevention, client complaints), stay current on industry regulations and fraud trends, and develop tools, resources, and training to strengthen senior client protection.

• Series 7 license required that is currently active and held for a minimum of two years.
• Series 9/10, 24, 66, and insurance licenses are required for the position. Any licenses currently not held will be required upon hire and must be obtained within four months of hire.
• Minimum four years of licensed industry experience with compliance oversight, risk management, or supervisory related experience is required.
• Strong knowledge of industry rules and regulations.
• Strong investment products knowledge.

• Bachelor’s degree in a business‑related field is 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 effective June 1, 2026. Before June 1, 2026, 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 three days per week, with preference for Tuesday through Thursday.

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’s 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.