Full-time Field Supervision Director - Primary, Edward Jones

01OPPORTUNITY OVERVIEW

• Do you enjoy putting pieces together to know the bigger picture and partnering

to solve complex issues? If so, there is an exciting career opportunity waiting

for you in our Field Supervision Department!

The Field Supervision Department plays a critical role in achieving the

Compliance Division's purpose of promoting our client's best interests and

options by partnering to improve our culture of compliance and enable the best

experience for all. Our associates are our greatest asset, and the opportunity

to increase our client impact is directly related to our success in attracting,

retaining, and developing a talented and diverse workforce.

Field Supervision Directors are registered with FINRA as designated supervisory

principals to enforce firm and regulatory compliance rules and policies over

assigned branch offices. Compliance Field Supervisors utilize extensive

electronic processing systems and exception reports to complete the supervision

of and provide help to branch offices regarding client activity, firm policies,

and industry regulations.

What You'll Do:

• Enforce firm and regulatory compliance rules and policies for assigned Branch
• Teams.
• Prevent, detect, and mitigate risk to clients, the firm, and Branch Teams by
• examining client account activity, identifying suitability concerns, and
• evaluating Branch business.
• Judgment making is evidenced in supervisory records and subject to regulatory
• scrutiny.
• Partner with leadership to provide input and guidance on establishing and
• maintaining firm WSPs.
• Advance knowledge and expertise of industry regulations and firm policies.
• Consultant on firm offered products, asset allocation strategies, and
• investment solutions for clients, to ensure alignment with industry
• regulation and firm investment philosophy.
• Guide Branch Teams in building a successful and compliant business.
• Influence and drive discussion on compliance topics with Branch Teams,
• Regions, and various stakeholders across the firm.
• Represent the firm through direct contact with clients to discuss account
• activity and confirm knowledge of risks and benefits in relation to industry
• regulation and firm investment philosophy.
• Travel may be required for Branch Team supervisory visits, regulatory
• examinations or events, and compliance related matters.

02POSITION REQUIREMENTS

• What Experience You'll Need:
• Series 7 license required that is currently active and held for a minimum of
• one year
• Series 9, 10, 24, and 66 licenses are required or must be obtained within 4
• months of hire
• What Could Set You Apart:
• Insurance license
• General knowledge of compliance or industry experience
• Bachelor's degree in business-related field
• **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.**

03COMPANY 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.

04View our Purpose, Inclusion and Citizenship Report

[https://careers.edwardjones.com/blog/edward-jones-releases-annual-purpose-inclusion-and-citizenship-report/?codes=DIRECT&utm_source=DIRECT].

¹Fortune 500, published June 2024, data as of December 2023. Compensation

provided for using, not obtaining, the rating.

05AWARDS 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
• [https://careers.edwardjones.com/blog/?_sft_category=awards-accolades]
• Check out our Canadian awards and accolades: Insights & Information Blog
• Postings about Edward Jones
• [https://careers.edwardjones.com/en-CA/blogs/?_sft_category=awards-accolades-en-ca]

06EEO 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.

07SALARY 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

08our benefits page

[https://secure.edwardjonesbenefits.com/fleet/public/index/f914262d-0362-4682-bd1e-0ccd25f1dfb1].