$80K — $150K *
The Regulatory and Controls Specialist mitigates regulatory risk for Edward Jones by designing, enhancing and monitoring reports and systems used for supervision by Equity Trading leaders and associates. They accomplish this by collaborating with leaders to implement and monitor consistent policies, written supervisory procedures and controls which align the firm with industry rules and regulations.
At Edward Jones, we value and respect our associates and their contributions, and we recognize individual efforts through a rewards program that promotes a long-term career, financial security and well-being. Visit our career site to learn more about our total compensation approach, which in addition to base salary, typically includes benefits, bonuses and profit sharing. The salary range for this role is based on national data and actual pay is based on skills, experience, education, and other relevant factors for a potential new associate:
Hiring Minimum: $75,962
Hiring Maximum: $129,341
A bachelor’s degree with an emphasis in Business/Finance or Accounting is preferred.
Series 7, 24, 55/57 and 66 are required at this level. If the associate wishes to work remote, these licenses must be held prior to beginning the role. If the associate works from our St Louis or Tempe campuses, these licenses must be obtained within 6 months of starting.
Five or more years of financial services industry experience is preferred with a requirement for Equities Trading or Compliance experience.
This position requires a strong knowledge of industry rules and regulations (FINRA and SEC), as well as firm policies. A solid understanding of the industry trading systems are also imperative.
Regulatory and Controls Specialists may be asked to communicate with various internal departments (Trading, Syndicate, Trade Operations, Compliance, Internal Audit, etc.), broker-dealers and industry regulators as part of their daily responsibilities so strong written and verbal communication skills are essential.
Sorting, organizing and analyzing large data sets is a component of this job, thus experience with MS Excel is critical as is the ability to organize and manage one’s time and day efficiently. Experience with Visual Basic or Visual Basic for Applications Programming and SQL will be a factor used to distinguish between qualified and exceptionally qualified candidates.
FORTUNE 2020 – Edward Jones was named No. 7 on the 2020 FORTUNE 100 Best Companies to Work For® list.
From FORTUNE ©2020 FORTUNE Media IP Limited. All rights reserved. Used under license. FORTUNE and FORTUNE 100 Best Companies to Work For are registered trademarks of Fortune Media IP Limited and are used under license. FORTUNE and Fortune Media IP Limited are not affiliated with, and do not endorse products or services of, Edward Jones Investments.
Edward Jones Ranked No. 6 of the 100 best workplaces for millennials by Great Place to Work and FORTUNE Magazine.
2020 Corporate Equality Index – Edward Jones joins the ranks of 680 major U.S businesses that received top marks in the HRC Foundations 18th Annual Scorecard on LBGTQ Workplace Equality
Edward Jones named a top company for training, ranking No. 25 on Training magazine’s 2020 Training Top 125 list – the highest ranking among the financial-services industry!
Financial services firm Edward Jones has been named one of the 2019 Best Workplaces for Parents by Great Place to Work and FORTUNE magazine. The firm ranked No. 5 on the list of 50 companies, up two spots from last year.
The Best Workplaces for Parents list is one of a series of rankings by Great Place to Work and FORTUNE based on employee feedback from Great Place to Work-Certified™ organizations. Edward Jones ranked No. 7 on the FORTUNE 100 Best Companies to Work for in 2019 list, the firm’s 20th appearance on the list. The firm also was ranked the No. 1 Best Workplace in Financial Services & Insurance and the No. 6 Best Workplace for Millennials by Great Place to Work and FORTUNE.
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.
Edward 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.
Valid through: 12/10/2021
$100K — $200K *
7 days ago
$100K — $200K *
7 days ago