The Compliance division leads the firm's commitment and provides structure around serving our clients' best interests. You will be a part of a team that continuously sets the industry standard for compliance.
In an ever-changing regulatory environment, you will collaborate and partner across divisions and branch teams to cultivate a culture of compliance firm-wide.
Edward Jones is seeking a Compliance Officer to support its home office operations. This position performs critical functions including providing advice and guidance to firm leaders, providing support for periodic diligence on third party service providers, supporting the development and maintenance of policies and procedures, supporting regulatory examinations, and performing compliance testing across the Firm.
Bachelor's degree in Finance, Accounting, or other similar/related quantitative subject and/or MBA preferred
Series 7, 24, and 66 licenses required or must be obtained within 12 months of hire.
1-3 years' experience in Compliance within the financial services industry or similar field preferred
Ability to interpret regulations and apply to due diligence, oversight reviews, and development and review of policies and procedures.
Strong leadership and interpersonal skills are essential.
Resolve complex issues through interpretation and application of industry regulations and firm business practices.
Must have excellent written and verbal communication skills.