Investment Advisory Compliance Director
Listed on 2026-10-11
-
Finance & Banking
Wealth Management, Regulatory Compliance Specialist, Corporate Finance, Financial Advisor / Consultant
Edward Jones is seeking an Investment Advisory Field Supervision Director to enforce compliance within our Advisory programs and help protect client interests. You will examine fee-based transactions, assess suitability, and guide branches to maintain a compliant advisory structure.
The role requires active FINRA licenses (Series 7, and 9/10/24/66 either held or joined within four months) and a strong background in regulatory frameworks, with a focus on client outcomes and firm policies.
We have an opening for a Investment Advisory Compliance Director in Tempe, AZ, United States within Finance, Legal.
If your experience matches this role, we encourage you to apply.
All applications are reviewed carefully by our team.
The position is based in Tempe, AZ, United States.
This opportunity is part of our work in Finance, Legal.
The advertised compensation is 110..
(If this job is in fact in your jurisdiction, then you may be using a Proxy or VPN to access this site, and to progress further, you should change your connectivity to another mobile device or PC).