Want a meaningful career where you can make a difference? Edward Jones sounds perfect for you.Collaboration. Autonomy. Opportunity. Words our headquarters associates use when talking about working at Edward Jones. Words that describe what it's like being part of a firm where everyone is aligned toward a singular focus: serving the client. And everyone is working to make the firm better together - as they grow as individuals. If these words resonate with you, we should talk.Job OverviewPosition Schedule: Home OfficeThe 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:Oversee the performance of a Field Supervision Asset and Electronic Communications Supervision TeamUtilize 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 clientAttract, retain, and develop a diverse team to meet current and future business goalsMentor 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 planManage and implement complex projects to ensure firm business and supervision evolve with operational and regulatory demandsFoster 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)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. Visit our career site 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:Hiring Minimum: $96471Hiring Maximum: $164262Qualified applicants with arrest or conviction records will be considered for employment in accordance with the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act. Edward Jones is prohibited from hiring individuals with certain specified criminal history as set forth in Section 3(a)(39) and 15(b)(4) and Rule 17a-3(a)(12) of the Securities and Exchange Act of 1934, and conducts background reviews consistent with FINRA Rule 3110(e). A copy of a notice regarding the provisions of the Los Angeles County Fair Chance Ordinance is available at: dcba.lacounty.gov/wp-content/uploads/2024/08/FCOE-Official-Notice-Eng-Final-8.30.2024.pdf.-->Read More About Job OverviewSkills/RequirementsWhat 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 systemsLeadership, data-based, investigative, and judgment-making skills are requiredWhat Might Set You Apart: Bachelor's degree or equivalent industry experienceGraduate level degree or additional industry certification(s) is preferred.Proven verbal and written communication skillsAbility to provide effective coaching and feedbackRead More About Skills/RequirementsAwards & Accolades100 Best Workplaces for Millennials in 2022, published Fortune July 2022, Great Places to Work® data as of March 2022. Compensation provided for using, not obtaining, the rating. Edward Jones was recognized as one of the Best Workplaces for Millennials by Great Places to Work® and Fortune® magazine. The privately held firm ranked No. 2 overall, in its fourth appearance on the list.2022 Fortune Best Workplaces for Women, published September 2022, research by Great Places to Work®, data as of August 2021. Compensation provided for using, not obtaining, the rating.Edward Jones has been named to the 2022 Best Workplaces for Women list by Great Places to Work® and Fortune® magazine, ranking No. 45.2022 Fortune's 100 Best Companies to Work For, published April 2022, research by Great Place to Work®, data as of August 2021. Compensation provided for using, not obtaining, the rating.For the 23rd time, Edward Jones has earned a spot on the Fortune 100 Best Companies to Work For® ranking by Great Places to Work® and Fortune® magazine. Edward Jones ranked No. 35 on the prestigious 2022 list.2022 Best Places to Work For LGBTQ+ Equality, Great Place to Work® in partnership with Human Rights Campaign Foundation, published Equity Magazine January 2022, data as of July 2021. Compensation provided for using, not obtaining, the rating. Edward Jones scored 100 percent on the Human Rights Campaign Foundation's 2022 Corporate Equality Index (CEI) the nation's foremost benchmarking survey and report measuring corporate policies and practices related to LGBTQ+ workplace equality. The ranking designated Jones as one of the best places to work for LGBTQ+Equality.Read More About Awards & AccoladesAbout UsAt 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.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.#LI-HO
Job Title
Team Leader - Asset and Electronic Communication Supervision