Compliance Officer - Field Supervision Director

At Edward Jones, our formula for success has been to put our customers first. We recognize that the surest way to deliver outstanding service is to continually develop and reward those who provide it. If you're looking for the tools, resources and freedom to build a great future, contact Edward Jones today. And see for yourself why for the seventh year, Edward Jones was named one of the "100 Best Companies to Work For in America" by Fortune magazine in its annual listing. The firm took the No. 16 spot overall in the ranking and was named to the No. 4 spot for large companies. The seven Fortune rankings include top 10 finishes for five years and consecutive number one rankings in 2002 and 2003.Date Posted:3-July-2006Edward Jones is seeking experience Compliance Officers in Field Supervision, also known as Field Supervision Directors to join its team.
This challenging position includes overseeing branch-offices. Candidates must have held a Series 7 license for a minimum of 2.5 years, and acquire Series 63, 9, 10, and 24 licenses within three months of hire. If you enjoy working autonomously and like the challenge of a variety of responsibilities, this may be an ideal career move for you.Responsibilities:
Supervise and support Investment Representatives and branch staff to ensure they follow firm policy and Industry regulations.
Review branch trade activity on a daily basis.
Travel three to five times per year to conduct Supervisory Visits, make presentations at various regional meetings, or attend occasional industry meetings and conferences.
Respond to communication wires, e-mails, and phone calls.Full-time associates are provided a core set of benefits including:Life insurance and accidental death and dismemberment coverage
Short-term and long-term disability
Paid vacation
Paid holidays
Paid sick days
Workers compensationUnemployment insurance
Mutual fund purchases at net asset value
Employee assistance program
Opportunity for bonus participation
Company-paid profit sharing
Tuition reimbursement
Adoption expense reimbursementFull-time associates may also elect to participate in the following:Medical and dental insurance
Additional life insurance and accidental death and dismemberment coverage
Long-term care insurance
401k plan with company match
Flexible spending accountsYou may also apply directly through the Edward Jones on-line resumeform:http://www.edwardjonesopportunity.com/cgi-bin/getHTML.cgi?page=/email/en_US/online_application_usa.html
Please include the Reference Code in the job code field.
For more information visit our website at www.edwardjones.com/careers
REQUIREMENTS
Excellent communication skills
Strong conflict-management and problem-solving skills
Strong leadership and interpersonal skills
Must be flexible and a strong team player
Should be a self-starter with the ability to make reasoned judgements
A bachelor's degree in business-related field is preferred
2.5 years of holding a Series 7 license
Series 63, 9, 10, and 24 licenses must be obtained within three months of being hired.
Insurance License must be obtained also.*This position is based in St. Louis, Missouri(CS)*