Edward Jones
What You'll Do:
Field Supervision Team Leaders (TL) are registered with FINRA as a supervisory principal to lead with the establishment, maintenance, and enforcement of firm and regulatory compliance rules and policies for designated principals on their assigned teams.
Utilize expertise of firm compliance policies and industry regulations to strategically direct complex, supervisory decisions.
Risk oversight of designated principals, evidenced in supervisory records, to ensure reasonable supervision is in alignment with firm and regulatory policies and procedures.
Establish performance expectations to ensure supervision is reasonable, timely, and in the best interest of the client.
Attract and retain a diverse team to meet current and future business objectives.
Mentor and coach team on identifying trends and patterns in branch and client activity while influencing next steps in progressive supervision.
Engage associates to foster a growth mindset by supporting the planning and execution of a purposeful development plan.
Lead and implement complex projects to ensure firm business and supervision evolve with operational and regulatory demands.
Foster constructive partnerships by influencing and positively impacting discussions as a key decision maker with Branch Teams and various stakeholders across the firm.
Represent the firm as a leader within the department during industry conferences, legal proceedings, and regulatory matters.
Superior knowledge and expertise of firm offered products, asset allocation strategies, firm investment philosophy, and investment solutions for clients.
Direct and guide decision making on vulnerable or senior client escalations involving financial exploitation or diminished capacity, which impacts the actions taken by internal departments, state authorities, or local government bodies.
Authorize and reconcile routine and non-routine business expenses and client reimbursements to ensure appropriate usage of firm resources.
Enforce and assist in establishing and maintaining firm Written Supervisory Procedures (WSPs).
Travel may be required for compliance related matters.
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.
Candidates that live within a commutable distance from our Tempe, AZ and St. Louis, MO home office location.
Qualifications Required in the Job:
Series 7 required (Series 7 must be held for a minimum of 2 years)
Series 63 or 66 (or equivalent) required. If candidate only holds their Series 63, Series 66 (or equivalent) must be obtained within 4 months of hire
Series 9 & 10 (or equivalent), 24, and insurance license required (or must be obtained within 4 months of hire)
Life and Health Insurance license is required.
Extensive securities product knowledge as well as knowledge of industry regulations, firm policies, and supervisory systems. Leadership, analytical, investigative, and decision‑making skills are required.
Qualifications Preferred:
Bachelor's degree or equivalent industry experience
Graduate level degree or additional industry certification(s) is preferred.
7 years of industry experience or 5 years of supervisory experience, compliance oversight, or risk management.
Direct people leadership experience is preferred.
Problem Solving:
Analyze and interpret information and data to prevent, detect, and mitigate risk to clients, the firm, and Branch Teams.
Leverage firm and regulatory expertise to address and resolve escalated supervisory issues and unique trends.
Employ critical thinking and utilize discretion to navigate highly complex,‑routine issues involving firm policy and regulatory matters to ensure decisions made are in the best interest of the client.
Proficiently demonstrate conflict resolution skills with clients, Branch Teams, and various stakeholders across the firm to resolve difficult or complex issues.
Decision Making:
Autonomously make decisions and grant exceptions using seasoned judgement given regulatory risk is high and decisions may be scrutinized by the firm, FINRA, the SEC, and various state agencies.
Decisions could result in arbitration, litigation, Failure to Supervise charges, fines, and enforcement actions; decisions could also result in future tax, legal, or regulatory consequences, and could factor into client complaints, arbitration cases, and regulator inquiries or cases against the firm.
Span of Influence:
Lead a team of 8 - 12 designated supervisory principals and one Administrative Support Associate in multiple locations across geographies.
Influence the decisions impacting over 16,000 Branch Teams with approximately $1.8 trillion in assets under care.
A Failure to Supervise charge can be brought against registered principals, their leaders, and the firm in cases where there is a failure to impose, enforce, or implement an adequate system of supervision.
Individual, firm and regulatory liability is high in aggregate and will directly impact clients, Branch Teams, outside counsel, vendors, and the firm; outcomes include impact to employee registrations, potential expulsion from the industry, firm monetary fines, and reputational harm to the firm.
Critical and valued business partner across the organization for escalated issues where decisions are complex or non‑routine in nature.
Drive consensus, influence decision making, and empower others using excellent communication skills.
Cultivate inclusive environment to produce engagement equity.
Promote a Culture of Compliance by aligning actions to the firm's core values
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.
Qualified applicants with arrest or conviction records will be considered for employment in accordance with the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act. Edward Jones is prohibited from hiring individuals with certain specified criminal history as set forth in Section 3(a)(39) and 15(b)(4) and Rule 17a-3(a)(12) of the Securities and Exchange Act of 1934, and conducts background reviews consistent with FINRA Rule 3110(e). A copy of a notice regarding the provisions of the Los Angeles County Fair Chance Ordinance is available at dcba.lacounty.gov/wp-content/uploads/2024/08/FCOE-Official-Notice-Eng-Final-8.30.2024.pdf.
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Field Supervision Team Leaders (TL) are registered with FINRA as a supervisory principal to lead with the establishment, maintenance, and enforcement of firm and regulatory compliance rules and policies for designated principals on their assigned teams.
Utilize expertise of firm compliance policies and industry regulations to strategically direct complex, supervisory decisions.
Risk oversight of designated principals, evidenced in supervisory records, to ensure reasonable supervision is in alignment with firm and regulatory policies and procedures.
Establish performance expectations to ensure supervision is reasonable, timely, and in the best interest of the client.
Attract and retain a diverse team to meet current and future business objectives.
Mentor and coach team on identifying trends and patterns in branch and client activity while influencing next steps in progressive supervision.
Engage associates to foster a growth mindset by supporting the planning and execution of a purposeful development plan.
Lead and implement complex projects to ensure firm business and supervision evolve with operational and regulatory demands.
Foster constructive partnerships by influencing and positively impacting discussions as a key decision maker with Branch Teams and various stakeholders across the firm.
Represent the firm as a leader within the department during industry conferences, legal proceedings, and regulatory matters.
Superior knowledge and expertise of firm offered products, asset allocation strategies, firm investment philosophy, and investment solutions for clients.
Direct and guide decision making on vulnerable or senior client escalations involving financial exploitation or diminished capacity, which impacts the actions taken by internal departments, state authorities, or local government bodies.
Authorize and reconcile routine and non-routine business expenses and client reimbursements to ensure appropriate usage of firm resources.
Enforce and assist in establishing and maintaining firm Written Supervisory Procedures (WSPs).
Travel may be required for compliance related matters.
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.
Candidates that live within a commutable distance from our Tempe, AZ and St. Louis, MO home office location.
Qualifications Required in the Job:
Series 7 required (Series 7 must be held for a minimum of 2 years)
Series 63 or 66 (or equivalent) required. If candidate only holds their Series 63, Series 66 (or equivalent) must be obtained within 4 months of hire
Series 9 & 10 (or equivalent), 24, and insurance license required (or must be obtained within 4 months of hire)
Life and Health Insurance license is required.
Extensive securities product knowledge as well as knowledge of industry regulations, firm policies, and supervisory systems. Leadership, analytical, investigative, and decision‑making skills are required.
Qualifications Preferred:
Bachelor's degree or equivalent industry experience
Graduate level degree or additional industry certification(s) is preferred.
7 years of industry experience or 5 years of supervisory experience, compliance oversight, or risk management.
Direct people leadership experience is preferred.
Problem Solving:
Analyze and interpret information and data to prevent, detect, and mitigate risk to clients, the firm, and Branch Teams.
Leverage firm and regulatory expertise to address and resolve escalated supervisory issues and unique trends.
Employ critical thinking and utilize discretion to navigate highly complex,‑routine issues involving firm policy and regulatory matters to ensure decisions made are in the best interest of the client.
Proficiently demonstrate conflict resolution skills with clients, Branch Teams, and various stakeholders across the firm to resolve difficult or complex issues.
Decision Making:
Autonomously make decisions and grant exceptions using seasoned judgement given regulatory risk is high and decisions may be scrutinized by the firm, FINRA, the SEC, and various state agencies.
Decisions could result in arbitration, litigation, Failure to Supervise charges, fines, and enforcement actions; decisions could also result in future tax, legal, or regulatory consequences, and could factor into client complaints, arbitration cases, and regulator inquiries or cases against the firm.
Span of Influence:
Lead a team of 8 - 12 designated supervisory principals and one Administrative Support Associate in multiple locations across geographies.
Influence the decisions impacting over 16,000 Branch Teams with approximately $1.8 trillion in assets under care.
A Failure to Supervise charge can be brought against registered principals, their leaders, and the firm in cases where there is a failure to impose, enforce, or implement an adequate system of supervision.
Individual, firm and regulatory liability is high in aggregate and will directly impact clients, Branch Teams, outside counsel, vendors, and the firm; outcomes include impact to employee registrations, potential expulsion from the industry, firm monetary fines, and reputational harm to the firm.
Critical and valued business partner across the organization for escalated issues where decisions are complex or non‑routine in nature.
Drive consensus, influence decision making, and empower others using excellent communication skills.
Cultivate inclusive environment to produce engagement equity.
Promote a Culture of Compliance by aligning actions to the firm's core values
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.
Qualified applicants with arrest or conviction records will be considered for employment in accordance with the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act. Edward Jones is prohibited from hiring individuals with certain specified criminal history as set forth in Section 3(a)(39) and 15(b)(4) and Rule 17a-3(a)(12) of the Securities and Exchange Act of 1934, and conducts background reviews consistent with FINRA Rule 3110(e). A copy of a notice regarding the provisions of the Los Angeles County Fair Chance Ordinance is available at dcba.lacounty.gov/wp-content/uploads/2024/08/FCOE-Official-Notice-Eng-Final-8.30.2024.pdf.
#J-18808-Ljbffr