Edward Jones
Senior Compliance Officer - Compliance Review & Education
Edward Jones, Tacoma, Washington, us, 98417
Overview
This job posting is anticipated to remain open for 30 days, from 16-Oct-2025. The posting may close early due to the volume of applicants. Join a financial services firm where your contributions are valued. Edward Jones is a Fortune 500 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. 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. What follows is a description of the role and team dynamics related to compliance review. What You’ll Do
The Senior Compliance Officer
will review and provide the final principal approval of retail communications, as well as internal training content and internal messaging relating to firm business, products, and services. The Senior Compliance Officer will be responsible for: Review of material submitted by branch teams, home office business areas & third party product partners to ensure compliance with regulatory rules & internal policies and procedures Review of training materials intended for financial advisors, BOAs, and home office associates Promoting a sense of partnership between compliance, branch teams and other business areas Routinely providing insights on compliance matters Leading or participating in projects Assisting in the creation and implementation of new or changed policies and procedures What Experience You Need
Bachelor's degree or equivalent experience required Series 7 and 24 registrations required Minimum 3 years of compliance experience Minimum 5 years of industry experience Strong written and verbal communication skills What Might Set You Apart
Comprehensive understanding of industry rules and regulations pertaining to relevant products and acceptable business practices. Ability to interpret emerging regulation, identify and respond to the impact on various Edward Jones products and processes Previous advertising/communications review, supervisory or compliance risk experience Current Series 4, 9, 10, 65 or 66 registrations Graduate level degree or additional industry certification(s) is preferred High critical thinking skills, sound judgment and systems thinking in order to manage multiple priorities, resources and initiatives The ability to operate with a high degree of autonomy regarding prioritization of work, time management and decision making Candidates that live within in a commutable distance from our Tempe, AZ and St. Louis, MO home office locations are expected to work in the office three days per week, with preference for Tuesday through Thursday. Current INTERNAL home-based associates: While this role is posted as hybrid, if selected and accepted, you may retain your home-based status. Edward Jones intends in good faith to continue offering the role as home-based, though future business or regulatory needs may require on-site work. Location and Culture
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. Equal Opportunity
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. Benefits
Edward Jones' compensation and benefits package includes medical and prescription drug, dental, vision, voluntary benefits (such as accident, hospital indemnity, and critical illness), short- and long-term disability, basic life, and basic AD&D coverage. Short- and long-term disability, basic life, and basic AD&D coverage are provided at no cost to associates. Edward Jones offers a 401k retirement plan, and tax-advantaged accounts: health savings account, and flexible spending account. Edward Jones observes ten paid holidays and provides 15 days of vacation for new associates beginning on January 1 of each year, as well as sick time, personal days, and a paid day for volunteerism. Associates may be eligible for bonuses and profit sharing. All associates are eligible for the firm\'s Employee Assistance Program. For more information on the Benefits available to Edward Jones associates, please visit our benefits page.
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This job posting is anticipated to remain open for 30 days, from 16-Oct-2025. The posting may close early due to the volume of applicants. Join a financial services firm where your contributions are valued. Edward Jones is a Fortune 500 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. 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. What follows is a description of the role and team dynamics related to compliance review. What You’ll Do
The Senior Compliance Officer
will review and provide the final principal approval of retail communications, as well as internal training content and internal messaging relating to firm business, products, and services. The Senior Compliance Officer will be responsible for: Review of material submitted by branch teams, home office business areas & third party product partners to ensure compliance with regulatory rules & internal policies and procedures Review of training materials intended for financial advisors, BOAs, and home office associates Promoting a sense of partnership between compliance, branch teams and other business areas Routinely providing insights on compliance matters Leading or participating in projects Assisting in the creation and implementation of new or changed policies and procedures What Experience You Need
Bachelor's degree or equivalent experience required Series 7 and 24 registrations required Minimum 3 years of compliance experience Minimum 5 years of industry experience Strong written and verbal communication skills What Might Set You Apart
Comprehensive understanding of industry rules and regulations pertaining to relevant products and acceptable business practices. Ability to interpret emerging regulation, identify and respond to the impact on various Edward Jones products and processes Previous advertising/communications review, supervisory or compliance risk experience Current Series 4, 9, 10, 65 or 66 registrations Graduate level degree or additional industry certification(s) is preferred High critical thinking skills, sound judgment and systems thinking in order to manage multiple priorities, resources and initiatives The ability to operate with a high degree of autonomy regarding prioritization of work, time management and decision making Candidates that live within in a commutable distance from our Tempe, AZ and St. Louis, MO home office locations are expected to work in the office three days per week, with preference for Tuesday through Thursday. Current INTERNAL home-based associates: While this role is posted as hybrid, if selected and accepted, you may retain your home-based status. Edward Jones intends in good faith to continue offering the role as home-based, though future business or regulatory needs may require on-site work. Location and Culture
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. Equal Opportunity
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. Benefits
Edward Jones' compensation and benefits package includes medical and prescription drug, dental, vision, voluntary benefits (such as accident, hospital indemnity, and critical illness), short- and long-term disability, basic life, and basic AD&D coverage. Short- and long-term disability, basic life, and basic AD&D coverage are provided at no cost to associates. Edward Jones offers a 401k retirement plan, and tax-advantaged accounts: health savings account, and flexible spending account. Edward Jones observes ten paid holidays and provides 15 days of vacation for new associates beginning on January 1 of each year, as well as sick time, personal days, and a paid day for volunteerism. Associates may be eligible for bonuses and profit sharing. All associates are eligible for the firm\'s Employee Assistance Program. For more information on the Benefits available to Edward Jones associates, please visit our benefits page.
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