Director Of Compliance And Field Supervision

At Edward Jones, we help clients achieve their serious, long-term financial goals by understanding their needs and implementing tailored solutions. To ensure a personal client experience, we have located our 15,000+ branch offices where our more than 7 million clients live and work.
In a typical branch office, a financial advisor meets with clients and receives branch office support, so they can focus on building deep relationships with clients. Headquarters associates in St. Louis, Tempe and Mississauga provide support and expertise to help U.S. and Canada branch teams deliver an ideal client experience. We continue to grow to meet the needs of long-term individual investors.Are you a seasoned Compliance professional in the investments industry who is curious, action-driven, results-oriented, and passionate? Are you motivated by innovation, creativity, and the success of others? Do you lead others with a high level of empathy and a focus on client impact? Are you committed to life-long learning and supporting not only your own development but the professional development of those that you lead? Do you have excellent communication skills with the ability to interact effectively with all levels across the organization? If so, this senior Compliance leadership role may be for you!
We are currently searching for a Director of Compliance and Supervision who will have overall responsibility for leading a team of Compliance professionals in helping to ensure compliance with investments industry rules and regulations. Partnering with the Chief Compliance Officer and other senior leaders in the division, the Director of Compliance and Supervision will provide advice and direction on Compliance policy and procedures as well as support the firm's objectives, priorities, and strategic direction.
As a senior leader within the division, the Director's span of responsibilities include:

• Providing oversight, advice and guidance to ensure execution of Compliance- and/or Supervision-related activities in alignment with department and regulatory standards and to ensure firm resources are being used wisely.
• Aligning the department's activities and responsibilities with the division's and firm's strategic direction.
• Supporting firm objectives, priorities, and strategies.
• Providing leadership to collaborate and develop innovative ideas to improve Compliance and/or Supervisory systems and processes as well as overall effectiveness and efficiency.
• Focusing on associate development in order to help develop successors for key positions.
• Focusing on the client's best interest and ensuring compliance with industry rules and regulations, making key decisions pertaining to Compliance and Supervision policy, strategy, structure, and talent

Additionally, the Director of Compliance and Supervision will:

• Act as a key participant on firm, division, and industry committees.
• Be responsible for the leadership and development of leaders, associates and teams engaged in one of the following two areas of responsibility:
• The planning and development of changes related to processes within the division.
• The development of new Compliance and Supervision programs and the revision of existing programs to meet business and regulatory requirements necessary to support the firm's business model, growth plans, and the evolving industry.
• Represent the division and participate in planning, design and implementation of firm-wide projects so regulatory, firm policies and standards are followed. Help ensure that new product and service implementations have associated key controls in place in order to supervise them and maintain compliance with regulations.
• Define the strategic plan for all areas of responsibility. Provide leadership and direction with regards to:

Compliance department:

• Trade Desk Compliance
• Registrations and Licensing
• Marketing Compliance
• Conflicts of Interest
• Branch Audit
• Development and maintenance of the Compliance Policy Manual

Supervision department:

• Supervision and oversight of managed accounts and activities
• Compliance related inquiries received from the branches
• Division reporting and analytics
• Field Supervision
• Compliance Communications
• Electronic Surveillance

Qualifications Required in the Job:

• Partners, Directors, and Senior Officers exam must be completed within three months of hire.
• Undergraduate university degree required.
• Canadian Securities Course and Conduct and Practices Handbook Exam are mandatory and must be current at time of hire.
• Industry experience including demonstrated knowledge of regulatory obligations and expectations.
• Ten or more years of relevant Compliance and/or regulatory experience with a minimum of five years leadership experience required.

Key Behaviors and Competencies:

• Ability, willingness, and confidence to make effective decisions independently.
• Ability to anticipate and adapt to changing regulatory and business environments.
• Very strong analytical and critical thinking skills are essential. The ability to thoroughly analyze a situation, determine the facts, recognize possibilities and create unique and innovative solutions is also required.
• Demonstrated ability to drive execution end-to-end, from development to implementation.
• Navigate firm initiatives through an increasingly complex and growing organization.
• Ability to quickly develop expertise in high risk areas involving multiple functions and departments
• Ability to speak and write in clear concise terms regarding complex issues and technical documentation, including challenging conversations at all levels within the firm and with external regulators or vendors.
• Demonstrated commitment to continuous learning and development (of self and others).
• Leads others with empathy and human-centerdness, while welcoming diversity of thought and experience and fostering a collaborative, supportive and inclusive environment.
• Strong organizational and project management skills including the ability to handle multiple priorities and projects at one time.

• 2022 Fortune Best Workplaces for Women, published September 2022, research by Great Places to Work®, data as of August 2021. Compensation provided for using, not obtaining, the rating.
• Edward Jones has been named to the 2022 Best Workplaces for Women list by Great Places to Work® and Fortune® magazine, ranking No. 45.
• 2022 Fortune's 100 Best Companies to Work For, published April 2022, research by Great Place to Work®, data as of August 2021. Compensation provided for using, not obtaining, the rating.
• 100 Best Workplaces for Millennials in 2022, published Fortune July 2022, Great Places to Work® data as of March 2022. Compensation provided for using, not obtaining, the rating.
• Edward Jones was recognized as one of the Best Workplaces for Millennials by Great Places to Work® and Fortune® magazine. The privately held firm ranked No. 2 overall, in its fourth appearance on the list.
• For the 23rd time, Edward Jones has earned a spot on the Fortune 100 Best Companies to Work For® ranking by Great Places to Work® and Fortune® magazine. Edward Jones ranked No. 35 on the prestigious 2022 list.
• Edward Jones scored 100 percent on the Human Rights Campaign Foundation's 2022 Corporate Equality Index (CEI) the nation's foremost benchmarking survey and report measuring corporate policies and practices related to LGBTQ+ workplace equality. The ranking designated Jones as one of the best places to work for LGBTQ+Equality.
• 2022 Best Places to Work For LGBTQ+ Equality, Great Place to Work® in partnership with Human Rights Campaign Foundation, published Equity Magazine January 2022, data as of July 2021. Compensation provided for using, not obtaining, the rating.

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.