Department Leader - Field Supervision

Want a meaningful career where you can make a difference? Edward Jones sounds perfect for you.

Collaboration. Autonomy. Opportunity. Words our headquarters associates use when talking about working at Edward Jones. Words that describe what it's like being part of a firm where everyone is aligned toward a singular focus: serving the client. And everyone is working to make the firm better together - as they grow as individuals. If these words resonate with you, we should talk. **

Job Overview**

Position Schedule: Full-Time **

Field Supervision Department Leaders (DL) are registered with FINRA as supervisory principals, are tasked with the overall performance of the department, and provide leadership to ensure compliance with industry and firm rules, regulations, and policies.

Key Responsibilities Include**

• Understand and interpret firm and industry rules, regulations, and policies with a superior knowledge of firm offered products and firm systems.
• Lead risk mitigation strategies and oversight of branch supervision and activity in alignment with the best interest of the client.
• Establish and drive the execution of the department's key performance indicators, goals, and objectives, while anticipating current and future business needs.
• Influence and execute vision for the department staffing and retention strategy and highly involved with complex human resources matters.
• Create and sustain an environment that fosters the growth mindset, cultural awareness, and empathy for all associates and leaders, to align with the firm's commitment to diversity, equity, and inclusion.
• Engage and inspire the continuous growth and development of Team Leaders and associates.
• Champion innovative thinking and implement change management methodologies that significantly impact the strategic direction of the department, division, and firm.
• Key stakeholder and valued business partner with the Legal department and regulatory areas to satisfy inquiry requests, internal audits, and examinations from regulatory agencies such as FINRA, the SEC and various states.
• Routinely represent the firm during industry conferences and regulatory matters; may be asked to participate in legal proceedings.
• Analyze and authorize routine and non-routine department expenditures to ensure appropriate allocation of firm resources.
• Accountable for the department's adherence to firm policies, industry standards, and regulatory agreements through oversight and reasonable documentation.

Establish, maintain, and enforce Written Supervisory Procedures (WSPs).

Travel may be required for compliance or industry related matters **

Benefits**

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: $113810

Hiring Maximum: $193785 **

Skills/Requirements**

• Bachelor's degree required.
• FINRA Series 7 license is required.
• FINRA Series 66 license or equivalent is required.
• FINRA Series 24 license is required.
• FINRA Series 9 & 10 (or equivalent) are required.
• Life and Health Insurance license is required.
• Prior leadership experience is required.
• 10 years of industry experience or 5 years of supervisory, compliance oversight, or risk management experience is required.
• Extensive securities product knowledge, detailed understanding of industry regulations and rules surrounding branch office supervision, and a comprehensive understanding of firm supervisory systems, procedures, policies, and culture

Awards & Accolades

At 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 Jones

Check out our Canadian awards and accolades: Insights & Information Blog Postings about Edward Jones **

About Us**

Join a financial services firm where your contributions are valued. Edward Jones is a Fortune 500¹ company where people come first. With over 8 million clients and 19,000 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 2023, data as of December 2022. Compensation provided for using, not obtaining, the rating.

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.