Senior Compliance Officer - Finance
Location: Jefferson City
Posted on: January 15, 2023
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 15,000+ branch offices where our
more than 7 million clients live and work.In a typical branch
office, a financial advisor meets with clients and receives branch
office support, so they can focus on building deep relationships
with clients. Headquarters associates in St. Louis, Tempe and
Mississauga provide support and expertise to help U.S. and Canada
branch teams deliver an ideal client experience. We continue to
grow to meet the needs of long-term individual investors.The
Registration 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. Registration associates are
responsible for executing all of the tasks and processes involved
in providing and maintaining proper security registration for FAs,
BOAs, HQ associates and branch offices. Key Responsibilities:
- Complete Firm Reconciliation daily tasks. Reconcile data
between Edward Jones and regulators.
- Work in collaboration with project teams to understand the
problem, define the approach, assemble the data, perform the
analysis, generate insights, test and present actionable
information back to the business.
- Use Excel to merge, cleanse and transform data from multiple
sources as needed for research.
- Assist with monthly, quarterly, and annual invoices.
- Assist with Annual Financial Planning for multiple expense
reports to include managing and projecting budgets.
- Complete written supervisory reviews.
- Uses knowledge of the industry, regulatory and compliance
environment and firm business functions and takes it into account
when making decisions.
- Build relationships and collaborate with division stakeholders
to identify and prepare for changes impacting clients and branch
- Influence and contribute to firm, division or department
efforts which could include: Provide training, coaching and
feedback to optimally create and maintain a strong learning
environment and culture of compliance. Utilize OE/process
improvement to organize and facilitate small to mid-size projects
and/or act as a subject matter expert.
- Identify and analyze insights and communicate trends to
influence solutions that impact the delivery of an ideal client
- Promote, support and incorporate the change management
philosophy to department and division initiatives
- Employ system thinking and continual improvement to enhance the
- Initiate department improvements and informally run associates
through escalations, oversights, projects and/or change.
- Understand and apply firm and industry policies and regulations
to business decisions. Communicate with senior leadership across
the division and firm.
- Finance, Accounting, or similar degree required
- Required to hold series 7 and 66 (or equivalent)
- Must obtain series 9, 10, 24 within 6 months of hire
- Minimum 3 years of compliance or finance experience
- Minimum 3 years of industry experience required
- Proven written and verbal communication skills
- OE or process improvement experience preferred
- 2021 FORTUNE 100 Best Companies to Work For - By Great Place to
Work - and FORTUNE Magazine - Edward Jones was named No. 20 on the
- From FORTUNE -2021 FORTUNE Media IP Limited. All rights
reserved. Used under license. FORTUNE and FORTUNE 100 Best
Companies to Work For are registered trademarks of Fortune Media IP
Limited and are used under license. FORTUNE and Fortune Media IP
Limited are not affiliated with, and do not endorse products or
services of, Edward Jones Investments.
- 2021 Corporate Equality Index - Edward Jones joins the ranks of
767 major U.S. businesses that received top marks in the
Foundation's 19th annual scorecard on LGBTQ workplace equality.
- From The Human Rights Campaign. All Rights Reserved
- 2021 Training Top 100 list - Edward Jones ranked No. 19, up six
spots from last year in its 21st consecutive year on this
- J.D. Power, 2021 - Edward Jones has ranked "highest in Employee
Advisor Satisfaction among Financial Investment Firms" in the J.D.
Power 2021 U.S. Financial Advisor Satisfaction Study.
- Edward Jones received the highest score among employee advisors
in the J.D. Power 2007,2008, 2010, 2012-2015, 2017-2021 Financial
Advisor Satisfaction Studies of employee advisors' satisfaction
among those who are employed by an investment services firm. Visit
jdpower.com/awards for more information.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. 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:Salary: $66379 - $109459Category:
Keywords: Careerbuilder-US, Jefferson City , Senior Compliance Officer - Finance, Accounting, Auditing , Jefferson City, Missouri
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