Team Leader Compliance Jobs

Want a meaningful career where you can make a difference? Edward Jones sounds perfect for you.
Collaboration. Autonomy. Opportunity. Words our headquarters associates use when talking about working at Edward Jones. Words that describe what it's like being part of a firm where everyone is aligned toward a singular focus: serving the client. And everyone is working to make the firm better together - as they grow as individuals. If these words resonate with you, we should talk.
Job Overview
Position Schedule: Full-Time
The Team Leader is responsible for identifying and implementing strategies intended to mitigate the firm's regulatory and financial risks. The position will represent the Compliance Department and Edward Jones at industry and regulatory events . Primary areas of responsibility include the assessment and ongoing oversight of firm Conflicts of Interest and leadership of the Registration team.
This position is responsible to the Department Leader, Compliance.
Key Activities Include

• Develop and maintain relationships with regulatory and industry associates
• Manage the oversight and lead the Registration team.
• Oversee the daily activities to ensure the activities conform with industry regulations, standards and expectations, and with Edward Jones policies and procedures and standards
• On an ongoing basis identify and implement opportunities to enhance the Compliance program
• Stay up-to-date on industry and regulatory developments and consider the impact to existing policies and procedures
• Lead a team of Compliance associates in executing Compliance programs to support the firm's priorities
• Act as a back up to the department leader, attend meetings and participate in firm initiatives when Department Leader is unavailable.
• Collaborate with stakeholders within Compliance and across the firm to establish / review policies and procedures consistent with industry regulation and capable of supporting firm growth
• Champions a high-performance environment and contribute to an inclusive work environment with a focus on associate development

Skills/Requirements

• Coordinates and manages relationships with stakeholders across multiple divisions and locations, and externally with regulators and auditors.
• Must have a strong knowledge of and ability to interpret securities regulations.
• High level of problem solving skills required to make daily decisions as to the application fo frim policy and regulatory requirements on a variety of questions and situations.
• Knowledge of securities laws and regulations, exchange rules and SRO rules (Dealer Member and provincial insurance regulators), with focus on supervision of retail brokerage activity.
• 7-10 years industry and/or regulatory experience in compliance capacity with a strong working knowledge of the industry regulatory structure and process.
• Comprehensive understanding of the following is required:
• Conduct and Practices Handbook
• College/University degree or equivalent work experience is required
• Good understanding of industry practices, procedures and technical issues in order to plan and provide input on supervisory systems.
• Required completion of industry courses including
• Demonstrated ability to communicate with and develop effective and collaborative relationships across the organization in pursuit of corporate goals.
• 3-5 years leadership experience including leading multiple teams and/or functions, leading other leaders, planning, and setting strategy and direction strongly preferred.
• Demonstrated ability to use critical thinking skills, resourcefulness, initiative, and creativity to resolve complex challenges.
• Branch Managers Course/Investment Dealer Supervisor's Course
• Ability to work with senior leaders in different areas of the organization.
• Ability to manage multiple priorities, processes and areas of responsibility.
• Canadian Securities Course

Awards & Accolades

• 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 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.
• 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.
• 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 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.
• 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.
• Edward Jones has been named to the 2022 Best Workplaces for Women list by Great Places to Work® and Fortune® magazine, ranking No. 45.
• 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.

About Us
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.
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.