Field Supervision Specialist

COMPANY DESCRIPTION:

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.

DESCRIPTION/RESPONSIBILITIES:

The Field Supervision Specialist (FSS) is responsible for providing administrative and compliance support to the Field Supervision Directors (FSD), Compliance Services and Trade Desk Compliance.

The main area of support is to deliver client service excellence by responding to inquiries received through Field Supervision phone line and intranet based communication systems.

  Minimum of 2 years of Compliance experience. 

University or college degree is an asset.  

General understanding of compliance and retail branch supervisory issues is preferred.

General understanding of financial products, firm policies and industry regulations.

Requires the ability to make reasonable, knowledgeable decisions based on client data & transactions in a timely manner.  This position also requires ability to identify trends and patterns to determine if problems are developing.

The degree to which decisions are made will vary case by case and can be complex and non-routine.