Job Description

Recruiter

Kristy Gilmore

Opportunity Overview

The Compliance Officer, Field Supervision is responsible for ensuring compliance with laws and regulations of the various regulatory bodies (such as the Investment Industry Regulatory Organization of Canada (IIROC) - and the provincial Securities Commissions) and for ensuring compliance with internal policies through any of the following:

• the development and implementation of policies and procedures.
• the preparation and/or approval of Compliance Bulletins or other written compliance communications for branch and home office associates;
• the preparation and delivery of training that may be necessary to deliver key compliance messages to home office associates or branch office associates;
• through ongoing oversight and monitoring and testing of delegated activities, the identification of red flags or potential concerns and addressing these issues with senior associates and team leaders for address and resolution;
• the participation in firm and/or department initiatives and projects;
• the investigation of possible breaches of applicable regulations or policies;
• the imposition of internal disciplinary actions to branch office associates when appropriate;
• the identification of problem situations and the recommendation and implementation of corrective actions;
• the accurate processing of various reports that need to be reviewed and addressed within acceptable timeframes by senior staff, partners and other departments as appropriate;
• the support of other Compliance and Supervision associates\' activities during times of absence, tight deadlines, or heavier volumes;
• specific to the support of Compliance Services responsibilities:

• the handling of inquiries through the Field Supervision phone line and through the internal web-based communications system
• the timely placement and/or approval of account restrictions
• the processing and verification of outside accounts and statements received from 3rd parties, as well as verification letters

• This position will be an 18 month contract

Position Type

Home Office - Canada

Position Schedule

Full-Time

Company Description

At Edward Jones, we help clients achieve their serious, long-term financial goals by understanding their needs and implementing tailored solutions. To ensure a personal client experience, we have located our 15,000+ branch offices where our more than 7 million clients live and work.

In a typical branch office, a financial advisor meets with clients and receives branch office support, so they can focus on building deep relationships with clients. Headquarters associates in St. Louis, Tempe and Mississauga provide support and expertise to help U.S. and Canada branch teams deliver an ideal client experience. We continue to grow to meet the needs of long-term individual investors.

Flexible Work Option(s)

Hybrid

Awards and Accolades

• 100 Best Workplaces for Millennials in 2022, published Fortune July 2022, Great Places to Work\xc2\xae data as of March 2022. Compensation provided for using, not obtaining, the rating.

• Edward Jones was recognized as one of the Best Workplaces for Millennials by Great Places to Work\xc2\xae and Fortune\xc2\xae magazine. The privately held firm ranked No. 2 overall, in its fourth appearance on the list.
• 2022 Fortune Best Workplaces for Women, published September 2022, research by Great Places to Work\xc2\xae, data as of August 2021. Compensation provided for using, not obtaining, the rating.

• Edward Jones has been named to the 2022 Best Workplaces for Women list by Great Places to Work\xc2\xae and Fortune\xc2\xae magazine, ranking No. 45.
• 2022 Fortune\'s 100 Best Companies to Work For, published April 2022, research by Great Place to Work\xc2\xae, data as of August 2021. Compensation provided for using, not obtaining, the rating.

• For the 23rd time, Edward Jones has earned a spot on the Fortune 100 Best Companies to Work For\xc2\xae ranking by Great Places to Work\xc2\xae and Fortune\xc2\xae magazine. Edward Jones ranked No. 35 on the prestigious 2022 list.
• 2022 Best Places to Work For LGBTQ+ Equality, Great Place to Work\xc2\xae in partnership with Human Rights Campaign Foundation, published Equity Magazine January 2022, data as of July 2021. Compensation provided for using, not obtaining, the rating.

• Edward Jones scored 100 percent on the Human Rights Campaign Foundation\'s 2022 Corporate Equality Index (CEI) the nation\'s foremost benchmarking survey and report measuring corporate policies and practices related to LGBTQ+ workplace equality. The ranking designated Jones as one of the best places to work for LGBTQ+Equality.

Position Requirements

Qualifications Required in the Job:

• University degree, college diploma or relevant work experience is required.
• A general understanding of compliance and retail branch supervisory issues is preferred.
• Completion of Canadian Securities Course, Conduct and Practices Handbook, and Investment Dealer Supervisors Course is strongly preferred.
• Two to three years securities industry or relevant regulatory experience strongly preferred.
• This position requires a general understanding of financial products, firm policies and industry regulations.
• Compliance experience in the investments or financial services industry an asset.
• 18 month contract position

Problem Solving

• Resolve routine to moderately complex issues through application of established business processes.
• Service for branch associates can be handled by research or by reliance on knowledge and experience. Complex or unusual queries can be referred to senior associates or leaders. The contact volume can be large on any day and the FSS must have a solid knowledge base to handle the volume.
• May involve research of account documentation, trade data, compliance policies and procedures, regulatory provisions or notices and other fact finding.
• Examples of problem resolution include addressing client inquiries related to verification letters; as well as making the determination as to whether account restrictions can be lifted or should be imposed

Decision Making:
Decisions are generally based on defined business processes. Complex issues escalated to senior associates and leaders. Some decisions, especially those relating to rule breaches, will have to made on short notice. The Compliance Officer must be knowledgeable and able to exercise sound judgment in making recommendations and taking actions in consultation with senior compliance staff. The degree to which decisions are complex and non-routine will vary on a case-by-case basis. Some decisions will be routine and others will be more involved. This position operates with a moderate degree of autonomy and accountability for decisions. High risk, high exposure situations are escalated to senior associates and leaders.

Span of Influence:

• Firm-wide on an individual issue level.
• Dealing with relatively routine to moderately complex situations which have implications for individual customers and/or business stakeholders.
• Investigation and resolution of issues could impact the client, the Financial Advisor and/or firm policies and procedures, and may be reportable to the regulators (for example, via Gatekeeper Reports)
• Misinterpretation of regulations and/or failure to apply them can result in regulatory hearings, civil actions, or arbitrations pending over several years.

Edward Jones