Team Leader - Field Supervision

Location
Mississauga, Ontario
Salary
Negotiable
Posted
May 01, 2019
Closes
May 31, 2019
Ref
39292BR
Job Function
Compliance/Regulatory
Industry Sector
Investment Bank
Employment Type
Full Time
Education
Bachelors

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.

Responsibility Summary:  
 
The team leader is responsible for managing and supervising the overall performance of compliance associates. He/she is responsible for hiring, retaining and developing associates to support current and future business needs and to prepare them for additional responsibilities.
 
     * Responsible for setting and communicating clear performance expectations and ensuring that work conducted by the team is accurate, completed timely and in a professional manner consistent with the firm's culture and values.
     * Responsible for promoting a sense of partnership between compliance, branch teams and other business areas.
     * Routinely asked to provide insights on compliance matters.
     * At times he/she is expected to lead or participate in projects.  
     * He/she may be asked to represent Edward Jones at industry conferences or events.
     * Often assists in the creation and implementation of new or changed policies and procedures.
     * Involved in both internal and external audits.
     * Promote innovation, strategic thinking, and continuous improvement with the team.   
     * Ensuring cost projections and expense reports adhere to firm policy.

Qualifications Required in the Job:
 
 
     * Required courses are the Canadian Securities Course (CSC), the Conduct and Practices Handbook (CPH), Branch Manager's Course and completion of the Effective Manager's Seminar (within 18 months of registration as a supervisor), plus two years' experience with an IIROC dealer member.
     * Insurance licenses (Life and Accident & Sickness) are required.
     * A University degree, College Diploma or equivalent work experience is required.
     * At least 3-5 years' experience is required within a compliance or related environment.
     * Must have 2 to 3 years leadership experience.
     * Extensive knowledge of Edward Jones systems, policies, procedures and guidelines is an asset.
     * Comprehensive knowledge of securities and insurance industry rules & regulations is required.
     * He/she must have very strong communication skills, be a competent public speaker, and be able to clearly articulate, communicate and customize the message/information to a wide audience.
     * He/she must be able to deliver difficult and /or complex messages to associates on the team, in a fair and professional manner.

Problem Solving:
 
 
     * Systematically break down complex problems, research, analyze, and develop recommendations for resolution.
     * Resolve complex regulatory issues by understanding related regulations and providing business solutions that meet the requirements.  This requires in depth knowledge of compliance rules of multiple regulatory authorities and the ability to interpret and apply these as appropriate.
     * Effectively partner and collaborate with external regulators or internal areas to devise solutions that ensure the department is meeting regulatory and firm requirements.            

 
 
Decision Making:
 
 
     * Some decisions are governed by precedent, procedures and guidelines, however, in a rapidly evolving industry with ongoing changes/amendments to regulations and a mostly principal based environment, decisions are often complex and non-routine and very few decisions have a well-defined path to follow. The team leader is required to make decisions or provide guidance to complex situations which are escalated from the team. The team leader is required to monitor emerging regulations, analyze and interpret current, new and proposed regulatory rules and propose policy and workflow changes to ensure compliance.
     * The team leader is expected to function independently and know when to collaborate with others (legal experts, regulators, department leader, other areas)  
     * Demonstrated ability to use critical thinking skills, resourcefulness, initiative, and creativity to resolve non-routine and complex challenges