Note: The job is a remote job and is open to candidates in USA. Edward Jones is a financial services firm dedicated to helping clients achieve their long-term financial goals. The Field Supervision Officer II role involves ensuring compliance with firm and regulatory rules, reviewing client and branch activities, and delivering training and support to branch teams.
Responsibilities
- Review of non-supervisory and basic supervisory client and branch activity to identify fraudulent or manipulative activity
- Review of electronic communication for branch teams and home office associates
- Verify account information and accuracy through contacts with our clients and branch teams
- Identify supervisory issues, trends, and potential concerns in branch activity and effectively communicate them to clients, Financial Advisors, and home office associates
- Develop and deliver training, coaching and feedback
Skills
- Series 7 license that is currently active and has been held a minimum of one year
- Must obtain Series 9, 10, 24, and 66 within 4 months of hire
- Flexible Study Options: Full-time and/or part time study available, based on departmental needs
- Structured Exam Support: Access to coaching resources to help organize and optimize your study schedule
- Insurance license is preferred
- General understanding of compliance or industry experience is preferred
- One to two years of compliance experience is preferred
- Bachelor's degree or equivalent experience is preferred, but not required
Benefits
- Rewards program that promotes a long-term career, financial security and well-being
- Benefits
- Bonuses
- Profit sharing
Company Overview
Edward Jones provides personalized investment advisory, brokerage, and management services. It was founded in 1922, and is headquartered in St Louis, Missouri, USA, with a workforce of 10001+ employees. Its website is https://www.edwardjones.com.