Annuity Field Supervision Director - Compliance in Tempe, AZ

Edward Jones   •  

Tempe, AZ 85281

Industry: Finance & Insurance


Not Specified years

Posted 56 days ago

Opportunity Overview

The Field Supervision Department plays a critical role in achieving the Compliance Division's mission of promoting our clients' best interest while helping to ensure the firm remains in compliance with industry rules and regulations. Supervisory responsibilities of the firm's branch offices are handled by teams in this department, which are centralized in the St. Louis and Tempe home offices.

Annuity Field Supervision Directors (FSDs) are registered principals with supervisory responsibility for annuity transactions submitted through assigned branch offices. An Annuity FSD utilizes extensive electronic order systems to complete the supervision of annuity transactions. Additional responsibilities include providing support to branch offices in the areas of annuity purchases and liquidations, industry regulations, and firm policies for annuities.

Key Responsibilities:

  • Partner with Financial Advisors and branch teams in an effort to assist them in in building a successful and compliant annuity business
  • Conduct review and approval of annuity order activity, including completing commission adjustments in client accounts when appropriate.
  • Coach and educate branch teams on supervisory and compliance issues, best practices, and complex client situations related to annuity products.
  • Routinely contact clients to discuss trade activity within their accounts and to ensure proper disclosures have been made
  • Communicate potential concerns or supervisory issues to clients, Financial Advisors, home office associates and industry regulators.
  • Identify trends and patterns in branch activity to determine if follow-up is needed and/or if a situation requires escalation to another area in Compliance.
  • Work in collaboration with internal business areas.

Position Requirements

  • Series 7 license required that is currently active and held for a minimum of 1 year.
  • Series 9, 10, 24, 63 or 66, and insurance licenses required or must be obtained within four months of hire.
  • Compliance oversight, risk management, or supervisory related experience is strongly preferred.
  • Extensive knowledge of various annuity products including variable annuities, fixed annuities, equity indexed annuities, single premium immediate annuities and deferred income annuities.
  • Broad knowledge of products, supervisory systems, firm policies, and industry rules and regulations.
  • Must demonstrate strong conflict-management problem solving and independent decision making skills.
  • Ability to work in a dynamic fast paced environment
  • Excellent verbal and written communication skills
  • Bachelor's degree in business-related field is preferred, but not required.

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 14,000+ branch offices where our more than 7 million clients live and work.

A typical branch office has one financial advisor who meets with clients face-to-face and one branch office administrator who enhances the team's ability to build deep relationships with clients. Headquarters associates in St. Louis and Tempe provide support and expertise to help U.S. and Canada branch teams deliver an ideal client experience. Edward Jones currently has more branch offices than any other financial services firm, and we continue to grow to meet the needs of long-term individual investors.

Valid Through: 2019-11-12