Director - Compliance presso Edward Jones

• Defining the strategic plan for all areas of responsibility, providing leadership and direction with regards to:
  • The development of new Compliance and Supervision programs and the revision of existing programs to meet business and regulatory requirements necessary to support the firm's business model, growth plans, and the evolving industry.
  • The planning and development of changes related to processes within the division.
• Representing the division and participating in planning, design and implementation of firm-wide projects so regulatory, firm policies and standards are followed. Helping to ensure that new product and service implementations have associated key controls in place in order to supervise them and maintain compliance with regulations.
• Having overall responsibility for the strategic oversight and execution of the Compliance and/or Supervision program as assigned, which may include one or more of the following areas:
  • Registrations and Licensing
  • Branch Audit
  • Trade Desk Compliance
  • Marketing Compliance
  • Conflicts of Interest
  • Marketing Compliance
  • Field Supervision and Surveillance
  • General Compliance support

• Being responsible for the leadership and development of leaders, associates and teams
• Acting as a key participant on firm, division, and industry committees.

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.

• Undergraduate university degree required.
• Canadian Securities Course and Conduct and Practices Handbook Exam are mandatory and must be current at time of hire.
• Partners, Directors, and Senior Officers exam must be completed within three months of hire.
• 10 or more years of relevant Compliance and/or regulatory experience with a minimum of five years leadership experience required.
• Industry experience including demonstrated knowledge of regulatory obligations and expectations.

• Ability to interpret and apply Canadian securities laws and CIRO regulations to the firm's operations; Capacity to ensure that the firm remains compliant with all relevant regulatory requirements and guidelines.
• Ability to identify, assess, and mitigate compliance risks;Skilled in developing and implementing risk management strategies.
• Proven ability to lead and manage a compliance team; Capacity to mentor and develop team members, fostering a culture of compliance within the organization.
• Ability to analyze complex regulatory information and business processes to identify compliance issues and recommend solutions. Capacity to conduct thorough investigations and audits.
• Demonstrated commitment to continuous learning and development (of self and others).
• Demonstrated ability to drive execution end-to-end, from development to implementation.
• Leads others with empathy and human-centeredness, while welcoming diversity of thought and experience and fostering a collaborative, supportive and inclusive environment.
• Ability, willingness, and confidence to make effective decisions independently.
• Strong organizational and project management skills including the ability to handle multiple priorities and projects at one time.
• Ability to anticipate and adapt to changing regulatory and business environments.
• Ability to quickly develop expertise in high risk areas involving multiple functions and departments
• Ability to speak and write in clear concise terms regarding complex issues and technical documentation, including challenging conversations at all levels within the firm and with external regulators or vendors.
• Very strong analytical and critical thinking skills are essential.  The ability to thoroughly analyze a situation, determine the facts, recognize possibilities and create unique and innovative solutions is also required.
• Navigate firm initiatives through an increasingly complex and growing organization.