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Senior Compliance Officer - Finance

Company: Careerbuilder-US
Location: Jefferson City
Posted on: January 15, 2023

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 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 teams
  • 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 experience
  • Promote, support and incorporate the change management philosophy to department and division initiatives
  • Employ system thinking and continual improvement to enhance the client experience
  • 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 preferred
    • 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 list.
        • 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 prestigious list.
          • 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 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: Headquarters

Keywords: Careerbuilder-US, Jefferson City , Senior Compliance Officer - Finance, Accounting, Auditing , Jefferson City, Missouri

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