Edward Jones

Team Leader - Compliance Service

Edward Jones • $100K — $120K *
St. Louis, MO 63129In-Person
Finance & Insurance
5 - 7 years of experience
Today
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Job Overview by Ladders

Qualifications

  • Bachelor's degree required or equivalent experience
  • Series 7 & 66 (or equivalent) required
  • Series 9 & 10 and Series 24 required within 12 months
  • Minimum of 5 years of experience in financial services
  • Minimum of 1 year in people or project leadership role or increased levels of responsibilities required
  • Broad product knowledge and understanding of industry regulations and firm policies required

Responsibilities

  • Lead a team providing guidance on compliance policies for strategic initiatives
  • Conduct analyses and research to evaluate business challenges
  • Develop actionable recommendations for executive decision-making
  • Synthesize information to identify risks and opportunities
  • Create clear presentations and reports for senior leadership
  • Partner with leaders and stakeholders to assess strategic objectives
  • Facilitate planning sessions and discussions to advance initiatives

Benefits

  • Medical, dental, and vision coverage
  • Short- and long-term disability coverage at no cost to associates
  • 401k retirement plan
  • Flexible spending and health savings accounts
  • Generous time off policies including 15 vacation days and 10 paid holidays
  • Eligibility for bonuses and profit sharing
  • Employee Assistance Program
Full Job Description
Opportunity Overview

Are you a compliance leader who thrives on navigating complex challenges, building alignment across stakeholders, and transforming regulatory risk management into a strategic advantage? The Team Leader is responsible for identifying and implementing strategies intended to mitigate the firm's regulatory and financial risks. The position will represent the Compliance Department and Edward Jones at industry and regulatory events. Primary areas of responsibility include the assessment and ongoing oversight of firm Conflicts of Interest and leadership of the Registration team.

What You'll Do:
  • Lead a team responsible to provide the firm with guidance and understanding of firm's compliance policies while supporting complex, cross-functional strategic initiatives, enterprise-wide programs, and transformation efforts that advance organizational priorities and business objectives.
  • Conduct quantitative and qualitative analyses, research, benchmarking, and environmental scanning to evaluate business challenges and inform strategic recommendations.
  • Develop insights, options, business cases, and actionable recommendations that support executive decision-making and enterprise alignment.
  • Synthesize information across multiple initiatives to identify risks, dependencies, opportunities, and potential impacts on enterprise priorities and desired outcomes.
  • Create executive-ready presentations, reports, and communications that translate complex information into clear, concise insights for senior leaders.
  • Partner closely with Strategy & Execution leaders, program teams, and business stakeholders to assess progress against strategic objectives and drive successful outcomes.
  • Facilitate strategic planning sessions, portfolio reviews, governance forums, and stakeholder discussions to build alignment, solve problems, and advance key initiatives.
  • Influence outcomes through strong relationship-building, collaboration, and consultative engagement, while navigating ambiguity, balancing competing priorities, and supporting the realization of intended business benefits.


Position Requirements

What Experience You'll Need:
  • Bachelor's degree required or equivalent experience
  • Series 7 & 66 (or equivalent) required
  • Series 9 & 10 and Series 24 required within 12 months
  • Minimum of 5 years of experience in financial services is required
  • Minimum of 1 year in people or project leadership role or increased levels of responsibilities required
  • This position requires broad product knowledge as well as knowledge of both industry regulations and firm policies and processes
What Experience Could Set You Apart:
  • Graduate level degree and/or industry certification(s) is preferred
"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
Finance & Insurance
Founded
1997
* Ladders Estimates

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