Team Leader - Asset and Electronic Communication Supervision bei Edward Jones
Edward Jones · Tempe, Vereinigte Staaten Von Amerika · Hybrid
- Senior
- Optionales Büro in Tempe
Opportunity Overview
The Asset and Electronic Communication Supervision team is responsible for the oversight and supervision of client and branch activity related to asset-based disclosures and reports, branch and home office electronic communications, and records management and production. This position would be responsible for leading a team of Field Supervision Directors (FSDs) and Field Supervision Officers who provide compliance support to our branch offices and internal departments. This position would also serve as a subject matter expert for Social Media supervision.
What You'll Do:
What You'll Do:
- Oversee the performance of a Field Supervision Asset and Electronic Communications Supervision Team
- Utilize expertise of firm compliance policies and industry regulations to strategically direct complex, supervisory and non-supervisory work.
- Complete risk oversight(s) of principals and other associates, evidenced in supervisory records, to ensure reasonable supervision is in alignment with firm and regulatory policies and procedures.
- Establish performance expectations to ensure supervision is reasonable, timely, and in the best interest of the client
- Attract, retain, and develop a diverse team to meet current and future business goals
- Mentor and coach team on identifying trends and patterns in branch and client activity while influencing next steps in progressive review and supervision.
- Engage associates to foster a growth mindset by supporting the planning and execution of a purposeful development plan
- Manage and implement complex projects to ensure firm business and supervision evolve with operational and regulatory demands
- Foster constructive partnerships by influencing and positively impacting discussions as a key judgment maker with Branch Teams and various stakeholders across the firm.
- Represent the firm as a mentor within the department and represent the firm during industry conferences, legal proceedings, and regulatory matters.
- Enforce and assist in establishing and maintaining firm Written Supervisory Procedures (WSPs)
Position Type
Home Office
Position Schedule
Full-Time
EEO Statement
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.
Posting Location
Arizona, Tempe, Missouri, St. Louis
Company Description
Join a financial services firm where your contributions are valued. Edward Jones is a Fortune 500¹ company where people come first. With over 9 million clients and 20,000 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 2024, data as of December 2023. Compensation provided for using, not obtaining, the rating.
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 2024, data as of December 2023. Compensation provided for using, not obtaining, the rating.
External Flexible Work Option(s)
Hybrid, Remote
Awards and Accolades
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
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
Country
United States
Search Headquarters Positions by Area of Interest
LEADERSHIP, Regulatory and Compliance
Position Requirements
What Experience You Need:
- Series 7 & 66 (or equivalent) required (Series 7 must be held for a minimum of 2 years)
- Series 9 &10 (or equivalent), 24, and insurance license required (or must be obtained within 4 months of hire)
- Extensive securities product knowledge as well as knowledge of industry regulations, firm policies, and supervisory systems
- Leadership, data-based, investigative, and judgment-making skills are required
- Bachelor’s degree or equivalent industry experience
- Graduate level degree or additional industry certification(s) is preferred.
- Proven verbal and written communication skills
- Ability to provide effective coaching and feedback
- 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.
- Current INTERNAL home-based associates: While this role is posted as hybrid,
if selected and accepted, you may retain your home-based status. Edward Jones intends in good faith to continue offering the role as home-based, though future business or regulatory needs may require on-site work.
Salary Information
Edward Jones' compensation and benefits package includes medical and prescription drug, dental, vision, voluntary benefits (such as accident, hospital indemnity, and critical illness), short- and long-term disability, basic life, and basic AD&D coverage. Short- and long-term disability, basic life, and basic AD&D coverage are provided at no cost to associates. Edward Jones offers a 401k retirement plan, and tax-advantaged accounts: health savings account, and flexible spending account. Edward Jones observes ten paid holidays and provides 15 days of vacation for new associates beginning on January 1 of each year, as well as sick time, personal days, and a paid day for volunteerism. Associates may be eligible for bonuses and profit sharing. All associates are eligible for the firm's Employee Assistance Program. For more information on the Benefits available to Edward Jones associates, please visit our benefits page.
