Edward Jones

Field Supervision Director - Investment Advisory

Edward Jones$108K — $130K *
Finance & Insurance
Less than 5 years of experience
Job Overview by Ladders

Qualifications

  • Active Series 7 license held for a minimum of one year
  • Series 9, 10, 24 and 66 licenses required within 4 months of hire
  • Insurance license is a plus
  • Basic understanding of compliance or industry experience preferred
  • Bachelor's degree in a business-related field is advantageous

Responsibilities

  • Guide Branch Teams in developing a compliant fee-based advisory business
  • Identify trends in advisory transactions to recommend actions
  • Communicate regulatory implications to clients and stakeholders
  • Advise on compliance matters related to Investment Advisory programs
  • Drive discussions on fee-based business with team members and stakeholders
  • Engage directly with clients to explain risks and benefits of advisory services

Benefits

  • Comprehensive medical and prescription drug coverage
  • Dental and vision plans available
  • 401k retirement plan
  • Generous vacation allowance of 15 days plus holidays and personal days
  • Short- and long-term disability coverage at no cost to associates
  • Paid volunteer day and Employee Assistance Program access
  • Eligibility for bonuses and profit sharing opportunities
Full Job Description
Opportunity Overview

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 Administrators
  • Consultant on fee-based business to ensure compliance with industry regulations and firm policies with a focus on Investment Advisory programs
  • Influence 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 Requirements

What Experience You'll Need:
  • Series 7 license required that is currently active and held for a minimum of one year
  • Series 9, 10, 24 and 66 licenses are required or must be obtained within 4 months of hire
What Could Set You Apart:
  • Insurance license
  • General understanding of compliance or industry experience
  • Bachelor'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.*

Salary Information

Edward 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.

About Edward Jones

Edward Jones provides investment advisory and management services to individual investors. It also offers wealth management, retirement and college savings plans, insurance, and advisory services.

Edward Jones Careers

Join the thriving team at Edward Jones and be part of a company renowned for its commitment to professional growth and innovation. As a leader in the financial services industry, Edward Jones offers unparalleled job opportunities that empower you to shape your future and foster a culture of leadership and diversity.

Opportunities Await

At Edward Jones, we are constantly expanding our team with roles that challenge and reward our employees. Explore a range of positions that suit your skills and career ambitions, from entry-level to senior leadership roles. Whether you're looking for a full-time position or an internship, Edward Jones provides a platform for growth and learning.

Innovate and Lead

Step into a role at Edward Jones and join a culture steeped in innovation and leadership. Our professionals are at the forefront of developing new strategies for financial management, helping to drive the company forward while maintaining our commitment to client-centric solutions.

Grow With Us

Career growth is not just a possibility at Edward Jones—it is a promise. We are dedicated to your professional development through comprehensive training programs, leadership workshops, and continuous learning opportunities. Our commitment to your growth is matched by our dedication to diversity and inclusion, ensuring all team members have the opportunity to thrive.

Benefits and Culture

Edward Jones is committed to offering a supportive work environment where every team member feels valued. Enjoy competitive benefits, including health, retirement plans, and family-friendly policies that make balancing your professional and personal life easier. Our culture promotes teamwork, respect, and integrity, all foundational to our business ethos.

Join Our Team

Are you ready to take the next step in your career? Edward Jones is hiring! We are looking for passionate, curious, and driven individuals to join our team. Bring your unique skills and perspective, and help us continue to offer top-tier financial solutions to our clients.

Networking and Professional Development

Networking at Edward Jones goes beyond connecting with colleagues; it involves engaging with a broad community of professionals dedicated to financial excellence and client service. Enhance your career through our robust networking channels and gain insights that can propel you to new heights.

Prepare for Your Future

Starting your career at Edward Jones is made smoother with resources like resume tips, interview coaching, and job matching based on your skills and interests. Personalize your job search with our tailored career advice and discover how Edward Jones can be the key to your professional success.

Stay Connected

Keep up to date with the latest from Edward Jones Careers by subscribing to our job alert emails. Receive personalized updates that match your career interests and get ahead with insider tips and industry-leading insights.

Explore Edward Jones Jobs

Search open positions that align with your career goals at Edward Jones. We look for individuals who are solution-driven, creative, and eager to take on challenges. Explore the opportunities and find out how you can contribute to our team’s success.

Edward Jones: A Place Where Careers Flourish

At Edward Jones, your career is our priority. Join us and be part of a company that values innovation, leadership, and a diverse and inclusive workplace. Your journey to professional excellence starts here.
Learn more about Edward Jones
Size
50,000 employees
Industry
Founded
1997

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