Field Supervision Director - Investment Advisory

Opportunity OverviewDo you enjoy putting pieces together to understand 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 choices 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.Investment Advisory Field Supervision Directors are registered with FINRA as designated supervisory principals to enforce firm and regulatory compliance rules and policies in the firm's Investment Advisory programs. In this role, you will prevent, detect, and mitigate risk by examining fee-based transactions, identifying suitability concerns, and evaluating Branch advisory business.What You'll Do:Guide Branch Teams in building a successful and compliant fee-based business.Identify trends and patterns in branch and client advisory transactions to establish appropriate action.Effectively communicate choices that have firm and regulatory implications for clients, Financial Advisors, and Branch Office AdministratorsConsultant on fee-based business to ensure compliance with industry regulations and firm policies with a focus on Investment Advisory programsInfluence and drive discussion regarding fee-based business with Branch Teams, Regions, and stakeholders across the firm.Represent the firm through direct contact with clients to discuss advisory business and confirm understanding of risks and benefits in relation to industry regulation and firm investment philosophy.Position RequirementsWhat Experience You'll Need:Series 7 license required that is currently active and held for a minimum of one yearSeries 9, 10, 24 and 66 licenses are required or must be obtained within 4 months of hireWhat Could Set You Apart:Insurance licenseGeneral understanding of compliance or industry experienceBachelor'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.*Company DescriptionJoin 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. View our Purpose, Inclusion and Citizenship Report.¹Fortune 500, published June 2024, data as of December 2023. Compensation provided for using, not obtaining, the rating.Awards and AccoladesAt 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 JonesCheck out our Canadian awards and accolades: Insights & Information Blog Postings about Edward JonesPosition ScheduleFull-Time Posting LocationArizona, Tempe, Missouri, St. LouisExternal Flexible Work Option(s)HybridPosition TypeHome Office EEO StatementEdward 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.RecruiterMelissa CornwellSalary InformationEdward 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 our benefits page.CountryUnited States Search Headquarters Positions by Area of InterestRegulatory and Compliance : 116974BR