Job Description

Are you a seasoned Compliance professional in the investments industry who is curious, action-driven, results-oriented, and passionate? Are you motivated by innovation, creativity, and the success of others? Do you lead others with a high level of empathy and a focus on client impact? Are you committed to life-long learning and supporting not only your own development but the professional development of those that you lead? Do you have excellent communication skills with the ability to interact effectively with all levels across the organization? If so, this senior Compliance leadership role may be for you!

We are currently searching for a Director of Compliance and Supervision who will have overall responsibility for leading a team of Compliance professionals in helping to ensure compliance with investments industry rules and regulations. Partnering with the Chief Compliance Officer and other senior leaders in the division, the Director of Compliance and Supervision will provide advice and direction on Compliance policy and procedures as well as support the firm\'s objectives, priorities, and strategic direction.
As a senior leader within the division, the Director\'s span of responsibilities include:

• Aligning the department\'s activities and responsibilities with the division\'s and firm\'s strategic direction.
• Focusing on the client\'s best interest and ensuring compliance with industry rules and regulations, making key decisions pertaining to Compliance and Supervision policy, strategy, structure, and talent
• Providing oversight, advice and guidance to ensure execution of Compliance- and/or Supervision-related activities in alignment with department and regulatory standards and to ensure firm resources are being used wisely.
• Providing leadership to collaborate and develop innovative ideas to improve Compliance and/or Supervisory systems and processes as well as overall effectiveness and efficiency.
• Focusing on associate development in order to help develop successors for key positions.
• Supporting firm objectives, priorities, and strategies.

Additionally, the Director of Compliance and Supervision will:

• Represent the division and participate in planning, design and implementation of firm-wide projects so regulatory, firm policies and standards are followed. Help ensure that new product and service implementations have associated key controls in place in order to supervise them and maintain compliance with regulations.
• Act as a key participant on firm, division, and industry committees.
• Define the strategic plan for all areas of responsibility. Provide leadership and direction with regards to:

+ The development of new Compliance and Supervision programs and the revision of existing programs to meet business and regulatory requirements necessary to support the firm\'s business model, growth plans, and the evolving industry.
+ The planning and development of changes related to processes within the division.

• Be responsible for the leadership and development of leaders, associates and teams engaged in one of the following two areas of responsibility:

Compliance department:
*
+ Registrations and Licensing
+ Branch Audit
+ Trade Desk Compliance
+ Marketing Compliance
+ Conflicts of Interest
+ Development and maintenance of the Compliance Policy Manual

Supervision department:
*
+ Field Supervision
+ Supervision and oversight of managed accounts and activities
+ Compliance related inquiries received from the branches
+ Electronic Surveillance
+ Compliance Communications
+ Division reporting and analytics

Qualifications Required in the Job:

• Undergraduate university degree required.
• Canadian Securities Course and Conduct and Practices Handbook Exam are mandatory and must be current at time of hire.
• Partners, Directors, and Senior Officers exam must be completed within three months of hire.
• Ten or more years of relevant Compliance and/or regulatory experience with a minimum of five years leadership experience required.
• Industry experience including demonstrated knowledge of regulatory obligations and expectations.

Key Behaviors and Competencies:

• Demonstrated commitment to continuous learning and development (of self and others).
• Demonstrated ability to drive execution end-to-end, from development to implementation.
• Leads others with empathy and human-centerdness, while welcoming diversity of thought and experience and fostering a collaborative, supportive and inclusive environment.
• Ability, willingness, and confidence to make effective decisions independently.
• Strong organizational and project management skills including the ability to handle multiple priorities and projects at one time.
• Ability to anticipate and adapt to changing regulatory and business environments.
• Ability to quickly develop expertise in high risk areas involving multiple functions and departments
• Ability to speak and write in clear concise terms regarding complex issues and technical documentation, including challenging conversations at all levels within the firm and with external regulators or vendors.

• Very strong analytical and critical thinking skills are essential. The ability to thoroughly analyze a situation, determine the facts, recognize possibilities and create unique and innovative solutions is also required.
• Navigate firm initiatives through an increasingly complex and growing organization.

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.

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