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.
Do you enjoy putting pieces together to know the bigger picture and partnering to solve complex issues? If so, there is an exciting career opportunity waiting for you in our Field Supervision Department!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. Rollover Supervision Field Supervision Directors (FSD) are registered principals with supervisory responsibility over client rollover activity. An FSD utilizes extensive electronic processing systems and exception reports to complete the supervision of and provide support to branch offices in the areas of account and trade activity associated with rollovers as well as industry regulations and firm policies. Key Responsibilities:- Partner with Financial Advisors and branch teams in an effort to assist them in building a successful and compliant business
- Conduct review of client rollover 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 associated with client rollovers.
- Routinely contact clients to discuss rollover 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 establish if follow-up is needed and/or if a situation requires escalation to another area in Compliance
- Work in collaboration with internal business areas
- Series 7 license required that is currently active and held for a minimum of one year
- Series 9, 10, 24, and 66 licenses are required or must be obtained within four months of hire
- Compliance oversight, risk management, or supervisory related experience is highly preferred
- Broad knowledge of products, supervisory systems, firm policies, and industry rules and regulations
- Must demonstrate able conflict-management, problem solving and independent judgment-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
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
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: