Thursday , December 7 2023

Social Security Jobs in St. Louis (Edward Jones) – Compliance Officer II, CMPL

Website Edward Jones

Job Description:

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.


Job Responsibilities:

  • Continually tailor solutions to various audiences in a fast-paced autonomous environment while quickly identifying branch needs and providing proper solutions
  • Demonstrates broad and deep knowledge of compliance manual policies
  • Identify trends and patterns in branch and home office contacts to determine if follow-up or escalation is required and act as an escalation point for CO I
  • Coach, educate and communicate potential concerns for general compliance or compliance manual policies to team members, branch teams and home office associates
  • Staff the assist line in support of development and training of new associates
  • Provide input into training and assist with observation and coaching to CSO and COI
  • May lead small department projects or act as a subject matter expert
  • Work in collaboration with internal business areas within the firm to drive policy revisions and updates
  • May assist with oversights, monitoring and assignment of workflow

Job Requirements:

  • Bachelor’s degree preferred or equivalent work experience required
  • Required to hold 7 and 66 licenses (or equivalent)
  • Series 9 and 10 licenses required within 6 months
  • Series 24 license available for development but may be required for advancement opportunities
  • 2+ years compliance experience strongly preferred.

Job Details:

Company: Edward Jones

Vacancy Type:  Full Time

Job Location: St. Louis, MO, US

Application Deadline: N/A


Apply Here