Senior Manager, Compliance

Opportunity Overview

Do you thrive at the intersection of compliance, communication, and strategy—partnering across teams to ensure every message is clear, fair, and impactful? Are you energized by reviewing diverse content—from marketing to training to social media—while guiding teams to deliver compliant, compelling communications?
Join a dynamic team of Compliance professionals within the Communication Review and Education (CRE) department, whose primary responsibilities are the final principal review of retail communications as well as internal training content and internal messaging relating to firm business, products, and services. The scope of Communication Review and Education includes firm and branch marketing materials, product partner materials, and social media content. In partnership with departments across the firm, CRE ensures that firm communications are fair and balanced, comply with applicable industry rules and regulations, and are consistent with the firm's mission and purpose.
What You'll Do:
The Senior Compliance Manager will review and provide the final principal approval of retail communications as well as internal training content and internal messaging relating to firm business, products, and services. The Senior Compliance manager will take on additional projects outside of day-to-day content review to help enable the firm to achieve its ambition and execute strategic objectives. The Senior Compliance Manager will be responsible for:

• Review of material submitted by branch teams, home office business areas, and third party product partners to ensure compliance with regulatory rules and internal policies and procedures.
• Review of training materials intended for financial advisors, BOAs, and home office associates.
• Promoting a sense of partnership between compliance, branch teams, and other business areas.
• Routinely providing insights on compliance matters.
• Leading or participating in projects.
• Assisting in the creation and implementation of new or changed policies and procedures.
• Serve as a go-to resource for the department when the leader is unavailable.

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.

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.

Position Requirements

What Experience You Need:

• Bachelor's degree or equivalent experience required
• Series 7 and 24 registrations required
• Minimum 3 years of compliance experience
• Minimum 7 years of industry experience
• Strong written and verbal communication skills

What Will Set You Apart:

• Previous advertising/communications review, supervisory, or compliance risk experience.
• Current Series 4, 9, 10, 65, or 66 registrations.
• Graduate level degree or additional industry certification(s) is preferred
• Strong knowledge of industry regulations for public communications, marketing compliance, and financial products, with the ability to interpret new rules and assess their impact on Edward Jones products and processes.

Candidates that live within a commutable distance from our Tempe, AZ and St. Louis, MO home office locations are expected to work in the office four days per week

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.