1+ months

Field Supervision Director (Tempe)

Edward D. Jones & Co., L.P (HO)
Tempe, AZ 85281
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 14,000+ branch offices where our more than 7 million clients live and work.

A typical branch office has one financial advisor who meets with clients face-to-face and one branch office administrator who enhances the team's ability to build deep relationships with clients. Headquarters associates in St. Louis and Tempe provide support and expertise to help U.S. and Canada branch teams deliver an ideal client experience. Edward Jones currently has more branch offices than any other financial services firm, and we continue to grow to meet the needs of long-term individual investors.
The Field Supervision Department plays a critical role in achieving the Compliance Division's mission of promoting our clients' best interest while helping to ensure the firm remains in compliance with industry rules and regulations. Supervisory responsibilities of the firm's branch offices are handled by teams in this department, which are centralized in the St. Louis and Tempe home offices.

Compliance Field Supervisors, also known as Field Supervision Directors, are registered principals with supervisory responsibility over assigned branch offices. Compliance Field Supervisors utilize extensive electronic processing systems and exception reports to complete the supervision of and provide support to branch offices in the areas of account and trade activity, industry regulations and firm policies.

*Key Responsibilities:*
* Partner with Financial Advisors and branch teams in an effort to assist them in building a successful and compliant business
* Conduct review and approval of client account and trade activity, including completing commission adjustments in client accounts when appropriate
* Coach and educate branch teams on supervisory and compliance issues, best practices, and complex client situations
* Routinely contact clients to discuss trade activity within their accounts and to ensure proper disclosures have been made
* Communicate potential concerns or supervisory issues to clients, Financial Advisors, home office associates, and industry regulators
* Identify trends and patterns in branch activity to determine if follow-up is needed and/or if a situation requires escalation to another area in Compliance
* Work in collaboration with internal business areas
* Conduct supervisory visits throughout the year (4-6 weeks per year) on a subset of branches to enhance the quality of supervision


* Series 7 license required that is currently active and held for a minimum of one year
* Series 9, 10, 24, and 66 licenses required or must be obtained within four months of hire
* Insurance license is Preferred
* Compliance oversight, risk management, or supervisory related experience is strongly preferred
* Required to travel 4-6 weeks per year to conduct supervisory visits, present at various regional meetings, and/or attend occasional industry meetings and conferences
* Broad knowledge of products, supervisory systems, firm policies, and industry rules and regulations
* Must demonstrate strong conflict-management, problem solving and independent decision making skills
* Ability to work in a dynamic fast paced environment
* Excellent verbal and written communication skills
* Bachelor's degree in business-related field is preferred, but not required


* FORTUNE 2020 Edward Jones was named No. 7 on the 2020 FORTUNE 100 Best Companies to Work For list.
* From FORTUNE 2020 FORTUNE Media IP Limited. All rights reserved. Used under license. FORTUNE and FORTUNE 100 Best Companies to Work For are registered trademarks of Fortune Media IP Limited and are used under license. FORTUNE and Fortune Media IP Limited are not affiliated with, and do not endorse products or services of, Edward Jones Investments.

* Edward Jones Ranked No. 6 of the 100 best workplaces for millennials by Great Place to Work and FORTUNE Magazine.
* 2020 Corporate Equality Index Edward Jones joins the ranks of 680 major U.S businesses that received top marks in the HRC Foundations 18th Annual Scorecard on LBGTQ Workplace Equality
* Edward Jones named a top company for training, ranking No. 25 on Training magazine's 2020 Training Top 125 list the highest ranking among the financial-services industry!
* Financial services firm Edward Jones has been named one of the 2019 Best Workplaces for Parents by Great Place to Work and FORTUNE magazine. The firm ranked No. 5 on the list of 50 companies, up two spots from last year.
* The Best Workplaces for Parents list is one of a series of rankings by Great Place to Work and FORTUNE based on employee feedback from Great Place to Work-Certified organizations. Edward Jones ranked No. 7 on the FORTUNE 100 Best Companies to Work for in 2019 list, the firms 20th appearance on the list. The firm also was ranked the No. 1 Best Workplace in Financial Services & Insurance and the No. 6 Best Workplace for Millennials by Great Place to Work and FORTUNE.


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.
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](https://careers.edwardjones.com/compensation-and-values/) 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:

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Posted: 2021-07-23 Expires: 2022-01-02

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Field Supervision Director (Tempe)

Edward D. Jones & Co., L.P (HO)
Tempe, AZ 85281

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