Team Leader - Compliance Service

Opportunity Overview

Responsibility Summary:

• Lead a team responsible to provide the firm with guidance and understanding of firm's compliance policies.
• Ensures excellent service to branch teams and home-office through phone and written inquires.
• Acts as the main voice of the branch team for the compliance division by overseeing work to conduct analysis, collecting insights, and then sharing those insights, to influence changes to policy communication or interpretation.
• Partners with other service areas across the firm (service division, HC division, etc.) to consult with and understand the compliance intersections and collaboration opportunities.
• As a team leader, attracts and develops talent to meet the growing needs of the firm.
• Ensures service agreements are met, accountable for the daily operations of the area.
• Apply strategic thinking through assessment of statistical insights from branch contacts and partner with Compliance Analytics and business stakeholders to develop changes to firm policies and procedures
• Interpret analysis and partner with training areas across the firm to increase understanding and retention for branch teams and home office associates of compliance policies and procedures.
• Lead complex and/or technical projects related to regulatory policies and processes.
• Represent the department to other business areas of the firm, industy regulators, and participate in industry conferences.
• Provide guidance and handle escalations from home office and division stakeholders regarding regulatory policies and procedures, some of which may be complex and may involve rule interpetation.

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

Qualifications Required in the Job:

• Bachelors degree required or equivalent experience
• Series 7 & 66 (or equivalent) required or with requiste experience
• 9 & 10 (or equivalent), and 24 required within 12 months
• Graduate level degree and/or industry certification(s) is preferred
• Minimum of 5 years experience in financial services is required
• Minimum of 1 year in people or project leadership role or increased levels of responsibilities required
• This position requires broad product knowledge as well as knowledge of both industry regulations and firm policies and processes

Problem Solving:

• Required to have excellent communication skills and the ability to deliver difficult messages.

• Required to make numerous daily judgement calls that can impact the firm, financial advisor, client, and Compliance Officer.
• Must identify, recommend and implement solutions regarding team processes, systems, regulations, resource allocation and controls. Must provide direction to those responsible to them to help make informed decisions.
• Must have knowledge of technology and tools available to identify and implement solutions and create process efficiencies for the team in a high-volume, deadline-driven environment.

• Conflict resolution and appeals of decisions from financial advsiors, regional leaders, or other leaders in the home office.
• Ability to make difficult decisions in gray areas when little or no regulatory guidance is available
• Ability to interpret statistical insights and apply strategic thinking to identify gaps in firm regulatory policies and procedures and develop solutions.

Decision Making:

• High level of decision making required and decisions will be complex due to the breadth and nature of the situations, products and regulations and firm policies.
• Decisions are non-routine and require the exercise of judgment that represents an assumption of business risk. Decisions are made based on facts relevant to the specific situation and are often made because a Financial Advisor or Home Office Associate is looking for an exception to a COs decision or firm policy.
• Team Leader will be responsible for making independent decisions when exceptions, gray areas, or new issues arise.
• Team Leader decisions could result in medium to long-term implications for the client, Financial Advisor and even the firm. Incorrect decisions could result in future financial, tax, legal, regulatory and client service risks. Issues may be brought up at a later date due to a customer complaint, arbitration case, or as an inquiry from a regulator.
• Position has a high degree of risk due to the breadth of the role and the impact on regulatory policies and procedures. Regulatory risk can be high, which could result in arbitration, litigation, failure to supervise charges, fines and/or enforcement actions.

Span of Influence:

• Compliance Service Team Leaders may have responsibility for various team structures consisting of entry level to senior compliance officer roles. The CO teams are responsible for a breadth of compliance and regulatory policies and procedures.
• The Team Leader is responsible for providing candid, constructive performance feedback through oversight and other just in time interactions with team members.
• They are also highly engaged in preparing talent for role progression for increased responsibilties within the division and for completing necessary performance reviews.
• The Team Leader provides critical support for firm initatives in the areas of compliance, supervision and technology by assisting in all stages of the project management lifecycle to ensure the firm's ongoing ability to meet regulatory obligations.

**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 effective June 1, 2026.

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.