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Edward Jones

Compliance Officer - Compliance Service - St. Louis, MO 23749BR

Edward Jones - Saint Louis, MO

Compliance Officer - Compliance Service - St. Louis, MO 23749BR

in

Saint Louis

Missouri

Description: The Compliance Service Department is primarily responsible for branch communication with the public related to FINRA Rule 2210. This position will respond to inquiries via phone and occasionally Service Request, regarding compliance polices to branch and home office associatesKey Responsibilities: Communication with the public topics include: email, social media, text messaging, media appearances, sales correspondence, advertising, speaking engagements, FA bios, invitations.Legal support topics related to fiduciary transactions such as POAs, Custodial Accounts as well as Rule 3210.Communicate compliance policies to branch associates and those in other departments on an on-going basis in order to prevent miscommunications and escalating issuesContinually tailor solutions to various audiences in a fast-paced autonomous environment while quickly identifying branches needs and providing proper solutions Series 7 and 66 licenses strongly preferred or must be obtained within 12 months of hireSeries 9, 10, 24, and insurance licenses preferred or must be obtained within 12 months after passing the Series 7Prior compliance experience in the financial services industry is requiredStrong judgment and decision making skills are requiredExcellent communication, conflict management and problem solving skillsStrong written and communication skills; ability to communicate with financial advisors, branch staff, leaders, department members and others in the firmSelf-starter with ability to make reasoned judgmentsAbility to function independently and work collaboratively in a team environmentBachelor's degree strongly preferred or equivalent work experience VEVRAA Federal ContractorRequest Priority Protected Veteran ReferralsEOE -Veteran /Disabled/Minority/AA/F/M/SO

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2 days 13 hours ago

Edward Jones

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Compliance Officer - Compliance Service - St. Louis, MO 23749BR Edward Jones - Saint Louis, MO, United States

   

Location: Saint Louis, MO

Company Profile:
A financial services leader with a presence in the United States and Canada, we're known for our personal approach to business. Everyone here, whether they work in our headquarters or in their own neighborhood office as a Financial Advisor or branch office administrator, is dedicated to one purpose – helping our clients achieve their long-term financial goals. Learn why Edward Jones could be perfect for you.