Join a financial services firm where your contributions are valued. Edward Jones is a Fortune 500¹ company where people come first. With over 9 million clients and 20,000 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 2024, data as of December 2023. Compensation provided for using, not obtaining, the rating.
The Compliance Officer is responsible for ensuring compliance with laws and regulations of the various regulatory bodies as they relate to securities registration and insurance licensing for individuals, the firm, and branch locations. The role is also responsible for ensuring compliance with internal policies through end-to-end processes as well as the oversight, including monitoring and testing, of certain delegated activities including delivery of registration presentations and training to the financial advisor and registered branch associate trainees during onboarding.
Key Responsibilities:
- Reporting and/or submission to CIRO, other self-regulatory organizations or Insurance Councils in advance of regulatory due dates.
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Development and implementation of policies and procedures.
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Preparation and/or approval of Compliance Bulletins or other written communications for branch team members and others in the firm.
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The identification of problem situations or possible breaches of applicable regulations or policies, and the recommendation and implementation of corrective actions.
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The preparation and delivery of training that may be necessary to deliver key compliance messages to home office associates or branch office associates. Including assessment of CE eligibility for internally created training, tracking and reporting to appropriate areas.
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The compilation and regular reporting of statistics to senior staff, partners and other departments as appropriate. Including projected budget for registration and licensing of firm, individuals and branch locations.
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Provide guidance and support as Compliance SME to other business areas.
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Help to foster risk and compliance culture within the organization (workshops, training, awareness).
** 14 month contract position
Education and Experience:
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Minimum Education: Bachelor's degree or equivalent experience
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Preferred Education: Bachelor's degree
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Minimum Experience: 3-5 Years
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Preferred Experience: 3-5 Years
Licenses/Certifications:
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CSC or RR Retails Securities Exam and CPH or CIRE
Investment Dealers Supervisors Course or Supervisors Exam - - Preferred
** 14 month contract position
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
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 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.
