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!

Description: The Field Supervision Department plays a critical role in achieving the Compliance Division's purpose of promoting our client's best interests and options by partnering to improve our culture of compliance and enable the best experience for all. Our associates are our greatest asset, and the opportunity to increase our client impact is directly related to our success in attracting, retaining, and developing a talented and diverse workforce.

Field Supervision Directors are registered with FINRA as designated supervisory principals to enforce firm and regulatory compliance rules and policies over assigned branch offices. Compliance Field Supervisors utilize extensive electronic processing systems and exception reports to complete the supervision of and provide help to branch offices regarding client activity, firm policies, and industry regulations.

Key Responsibilities:

• Enforce firm and regulatory compliance rules and policies for assigned Branch Teams.


• Prevent, detect, and mitigate risk to clients, the firm, and Branch Teams by examining client account activity, identifying suitability concerns, and evaluating Branch business.


• Judgment making is evidenced in supervisory records and subject to regulatory scrutiny.


• Partner with leadership to provide input and guidance on establishing and maintaining firm WSPs.


• Advance knowledge and expertise of industry regulations and firm policies.


• Consultant on firm offered products, asset allocation strategies, and investment solutions for clients, to ensure alignment with industry regulation and firm investment philosophy.


• Guide Branch Teams in building a successful and compliant business.


• Influence and drive discussion on compliance topics with Branch Teams, Regions, and various stakeholders across the firm.


• Represent the firm through direct contact with clients to discuss account activity and confirm knowledge of risks and benefits in relation to industry regulation and firm investment philosophy.


• Travel may be required for Branch Team supervisory visits, regulatory examinations or events, and compliance related matters.

• 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 4 months of hire


• Preferred Requirements:
  
  · Insurance license
  
  · General knowledge of compliance or industry experience
  
  · Bachelor's degree in business-related field
  
  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.