Compliance Officer II, CMPL

Compliance Officers have relative autonomy to resolve routine to semi-complex issues which require interpretation of policies, procedures, or regulations. Associates utilize seasoned judgment to identify and understand when an issue needs to be escalated for further review or action to branch teams or clients. This may include associates acting as an intermediary with branches and other departments within the firm to resolve problems.

Responsibilities of the role require interaction that will impact branch teams, and other home office areas while promoting a culture of compliance. Associates use conflict management, effective communication and problem-solving skills with financial advisors, branch staff, leaders, peers and others in the firm.

A Compliance Officer II has a relatively broad responsibility to deal with more complex situations which have implications for individual customers and/or business stakeholders. Associates assist in the creation and implementation of training materials as well as department, division, and firm communications related to compliance matters. They assist in the coaching and development of other team members. Project work often involves process improvement or analysis of business/regulatory changes.

Key Responsibilities:

• Provide education and training on general Compliance policies and processes in response to inquiries from branch team and home office associates, via phones, written case requests and other tools or systems; common support topics include:
  • Communication with the public: social media, text messaging, sales correspondence, advertising, speaking engagements, FA bios and invitations
  • Custodial Account disbursements and Rule 3210
  • Support of general topics for Branch Audit and Record retention and
  • Compliance manual policies

• Continually tailor solutions to various audiences in a fast-paced autonomous environment while quickly identifying branch needs and providing proper solutions
• Identify trends and patterns in branch and home office contacts to determine if follow-up or escalation is required and act as an escalation point for CO I
• Coach, educate and communicate potential concerns for general compliance or compliance manual policies to team members, branch teams and home office associates
• Staff the assist line in support of development and training of new associates
• Provide input into training and assist with observation and coaching to CSO and COI
• May lead small department projects or act as a subject matter expert
• Work in collaboration with internal business areas within the firm to drive policy revisions and updates
• May assist with oversights, monitoring, and assignment of workflow

At Edward Jones, we value and respect our associates and their contributions, and we recognize individual efforts through a rewards program that promotes a long-term career, financial security and well-being. Visit our career site to learn more about our total compensation approach, which in addition to base salary, typically includes benefits, bonuses and profit sharing. The salary range for this role is based on national data and actual pay is based on skills, experience, education, and other relevant factors for a potential new associate:

Hiring Minimum: $59886
Hiring Maximum: $98752

Skills/Requirements

• Candidates that live within a commutable distance from our Tempe, AZ and St. Louis, MO home office locations are expected to work within the office three days per week, with the preference for Tuesday, Wednesday, and Thursday.
• 2+ years compliance experience strongly preferred.
• Bachelor's degree preferred or equivalent work experience required
• Required to hold 7 and 66 licenses (or equivalent)
• Series 9 and 10 licenses required within 6 months
• Series 24 license available for development but may be required for advancement opportunities

Awards & Accolades

At Edward Jones, we are building a place where everyone feels like they belong. We're proud of our associates' contributions to the firm and the recognitions we have received.

Check out our U.S. awards and accolades: Insights & Information Blog Postings about Edward Jones

Check out our Canadian awards and accolades: Insights & Information Blog Postings about Edward Jones

About Us

Join a financial services firm where your contributions are valued. Edward Jones is a Fortune 500¹ company where people come first. With over 8 million clients and 19,000 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 2023, data as of December 2022. 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.

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