Job Description
Job Description
Want a meaningful career where you can make a difference? Edward Jones sounds perfect for you.
Collaboration. Autonomy. Opportunity. Words our headquarters associates use when talking about working at Edward Jones. Words that describe what it's like being part of a firm where everyone is aligned toward a singular focus: serving the client. And everyone is working to make the firm better together - as they grow as individuals. If these words resonate with you, we should talk.
Job Overview Position Schedule: Full-Time
The Field Supervision Department plays a critical role in achieving the Compliance Division's mission of promoting our clients' best interest while helping to ensure the firm remains in compliance with industry rules and regulations. Supervisory responsibilities of the firm's branch offices are handled by teams in this department, which are centralized in the St. Louis and Tempe home offices.
Annuity Field Supervision Directors (FSD) are registered principals with supervisory responsibility for annuity transactions submitted through assigned branch offices. An Annuity FSD utilizes extensive electronic order systems to complete the supervision of annuity transactions. Additional responsibilities include providing support to branch offices in the areas of annuity purchases and liquidations, industry regulations, and firm policies for annuities.
Key Responsibilities: - Partner with Financial Advisors and branch teams in an effort to assist them in building a successful and compliant annuity business
- Conduct review and approval of annuity order activity, including completing commission adjustments in client accounts when appropriate
- Coach and educate branch teams on supervisory and compliance issues, best practices, and complex client situations related to annuity products
- Routinely contact clients to discuss trade activity within their accounts and to ensure proper disclosures have been made
- Communicate potential concerns or supervisory issues to clients, Financial Advisors, home office associates, and industry regulators
- Identify trends and patterns in branch activity to determine if follow-up is needed and/or if a situation requires escalation to another area in Compliance
- Work in collaboration with internal business areas
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:
Hiring Minimum: $72700
Hiring Maximum: $119800
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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Skills/Requirements - Series 7 license required that is currently active and held for a minimum of one year
- Series 9, 10, 24, 63 or 66 and insurance licenses required or must be obtained within four months of hire
- Compliance oversight, risk management, or supervisory related experience is strongly preferred
- Extensive knowledge of various annuity products including variable annuities, fixed annuities, equity indexed annuities, single premium immediate annuities, and deferred income annuities
- Broad knowledge of products, supervisory systems, firm policies, and industry rules and regulations
- Must demonstrate strong conflict-management, problem solving and independent decision making skills
- Ability to work in a dynamic fast paced environment
- Excellent verbal and written communication skills
- Bachelor's degree in business-related field is preferred, but not required
- 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.
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Awards & Accolades 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
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About Us Join a financial services firm where your contributions are valued. Edward Jones is a Fortune 500¹ company where people come first. With over 8 million clients and 19,000 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 2023, data as of December 2022. Compensation provided for using, not obtaining, the rating.
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.
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Job Tags
Full time, Immediate start, Home office, Flexible hours, 3 days per week,