Department Leader – Products, Compliance Edward Jones
This Department Leader is responsible for providing a wide range of compliance support over many of the products offered by Edward Jones, including mutual funds, exchange traded funds, 529 plans, retirement accounts, employer sponsored retirement plans, life insurance, annuities and cash and lending products.
The role will ensure each offering has a robust compliance program consistent with both regulatory requirements and Edward Jones’ core values.
The role will provide advice to senior product stakeholders regarding a variety of topics including supervisory policies and procedures, risk mitigation, sales practices, operations, selling agreements, client materials and regulatory developments.
The role will lead a small team of compliance professionals.
Company Bio: Edward Jones
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.
- Superior analytical and problem-solving skills to effectively lead a group of compliance professionals.
- While dependent on the input of stakeholders within the compliance division and across the firm, this role will operate with significant autonomy, as the majority of day-to-day decisions will be made independent of review.
- This position has full leadership, management and supervisory responsibility for a group of attorneys and/or other senior compliance professionals who possess a wide range of subject-matter expertise, knowledge and experience.
- This position leads a group that has responsibility for compliance policies and procedures, oversight and advice to a variety of business and operational areas of the firm. This group and this position will also play important roles in the development of new products and services and the maintenance and enhancement of existing products and services, as well as drafting new product disclosures.
Qualifications / Requirements
- Bachelor’s degree required, advanced degree strongly preferred.
- Series 7, 24, and 66 required within 6 months of hire.
- Minimum of 10 years compliance or legal experience in the financial services industry supporting relevant products.
- Prior leadership experience preferred, but will consider candidates who have otherwise demonstrated the ability to exercise influence through a team environment.
- Ability to interpret and apply rules and regulations relevant to the Edward Jones’ product lineup.
- Ability to partner and build consensus on an enterprise wide basis. Can extend sound judgment beyond subject matter expertise.
- Ability to identify the material from immaterial in abundance of data.
- A history of executing in large companies and an interest in continual learning.
- Ability to take complex matters and distill into concise, actionable guidance.
- Ability to communicate persuasively with key stakeholders.
- A good listener who forms insightful questions.
- Knowledge of industry regulations across multiple product, service, operational and SRO lines.