1+ months

Senior Compliance Officer - Communication Review and Education

Edward D. Jones & Co., L.P (BOA)
St Louis, MO 63103
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.
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.
The Sr. Compliance Officer in the Communication Review and Education department is responsible for performing supervisory principal reviews of the firm's retail and internal communications, training, broker-dealer and investment adviser materials. As a representative of the Compliance Division, you will support business areas and branch teams in complying with applicable rules on communications and training in the US and Canada. The scope of the materials reviewed encompasses multiple business areas, various technology and degrees of complexity.
Sr. Compliance Officers are responsible for applying regulatory and firm policies and promoting a culture of compliance across the organization. The ideal candidate must be able to initiate department improvements and informally lead associates through projects and/or change.

*Key Responsibilities:*
Review communications intended for use with the public
Review internal communications
Review training materials intended for financial advisors, BOAs, and home office associates
Understand and apply firm and industry policies and regulations to all materials submitted for review
Identify situations that may create risk to clients or the firm
Recommend and implement corrective actions as needed
Maintain business relationships with areas that submit materials to ensure compliance messaging is integrated into communications and training materials
Conduct surveillance of existing materials
Utilize conflict management, problem solving and self-directed decision making skills
Bachelor's degree preferred.
Series 7 and 63 or 66 registrations required
- Attainment of the Series 24 per firm policy
Minimum 3+ years in a securities compliance role is preferred
Comprehensive knowledge and understanding of industry rules and regulations.
Able to communicate with impact with business areas across the firm
Assess impact of interpretations and application of industry regulations and firm business practices with limited guidance and sound judgment

* 2021 FORTUNE 100 Best Companies to Work For By Great Place to Work and FORTUNE Magazine Edward Jones was named No. 20 on the list.
* From FORTUNE 2021 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.

* 2021 Corporate Equality Index Edward Jones joins the ranks of 767 major U.S. businesses that received top marks in the Foundations 19th annual scorecard on LGBTQ workplace equality.
* From The Human Rights Campaign. All Rights Reserved

* 2021 Training Top 100 list - Edward Jones ranked No. 19, up six spots from last year in its 21st consecutive year on this prestigious list.
* J.D. Power, 2021 Edward Jones has ranked "highest in Employee Advisor Satisfaction among Financial Investment Firms" in the J.D. Power 2021 U.S. Financial Advisor Satisfaction Study.
* Edward Jones received the highest score among employee advisors in the J.D. Power 2007,2008, 2010, 2012-2015, 2017-2021 Financial Advisor Satisfaction Studies of employee advisors satisfaction among those who are employed by an investment services firm. Visit jdpower.com/awards for more information.


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: 2022-04-08 Expires: 2022-06-12

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Senior Compliance Officer - Communication Review and Education

Edward D. Jones & Co., L.P (BOA)
St Louis, MO 63103

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