Mississauga, ON, Canada
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 15,000 branch offices where our more than 7 million clients live and work. In a typical branch office, a financial advisor meets with clients and receives branch office support, so they can focus on building deep relationships with clients. Headquarters associates in St.
Louis, Tempe and Mississauga provide support and expertise to help U.S. and Canada branch teams deliver an ideal client experience. We continue to grow to meet the needs of long-term individual investors. Join a dynamic team of Compliance professionals, whose primary responsibility is to support branch teams to ensure their understanding of and adherence to regulatory requirements and expectations: as well as supervise client accounts and branch activities. We are seeking a Branch Supervisor to join our Compliance Department.
The Branch Supervisor known internally at Edward Jones as Field Supervision Director (FSD) is registered with CIRO (Canadian Investment Regulatory Organization) as a ‘Supervisor’. The primary objective of the FSD is to protect the client, firm, financial advisor, and the industry. The Branch Supervisor must have in-depth knowledge of a broad range of product and services as well as firm and industry policies and regulations. Responsibilities include: Partnering with advisors and branch teams in an effort to assist them in building a successful and compliant business.
Day-to-day supervision of accounts, including the ongoing development of, implementation of, and process improvements related to the supervision program. Coach and educate branch teams on supervisory and compliance issues as well as best practices Identify potential issues/trends/patterns with client accounts, taking corrective action where necessary Communicate potential concerns or supervisory issues to clients, advisors, and home office associates Contact clients as required Support and participate in the evolution of the firm’s Supervision program. Participate in firm initiatives/projects. Current registration as a Supervisor with CIRO (Canadian Investment Regulatory Organization) , along with 3-5 years of compliance or supervisory experience with a CIRO.
LLQP strongly preferred. Bachelor’s degree preferred, or relevant work experience. Required Courses: Canadian Securities Course (CSC), the Conduct and Practices Handbook (CPH), and Investment Dealers Supervisors Course (IDSC). Preferred: English/French (bilingual).
This position requires comprehensive knowledge of both industry rules and regulations along with firm policies. A strong understanding of the firm’s supervisory systems and supervisory procedures is required. Ongoing understanding of industry issues, trends and “hot topics” is required. Strong communication skills, be a competent public speaker, and be able to clearly articulate, communicate and customize messages and information to a wide audience.
Must have demonstrated ability to deliver difficult and/or complex messages to financial advisors with empathy and emotional intelligence, and a professional manner. 100 Best Workplaces for Millennials in 2022, published Fortune July 2022, Great Places to Work® data as of March 2022. Compensation provided for using, not obtaining, the rating. Edward Jones was recognized as one of the Best Workplaces for Millennials by Great Places to Work® and Fortune® magazine. The privately held firm ranked No. 2 overall, in its fourth appearance on the list. 2022 Fortune Best Workplaces for Women, published September 2022, research by Great Places to Work®, data as of August 2021.
Compensation provided for using, not obtaining, the rating. Edward Jones has been named to the 2022 Best Workplaces for Women list by Great Places to Work® and Fortune® magazine, ranking No. 45. 2022 Fortune’s 100 Best Companies to Work For, published April 2022, research by Great Place to Work®, data as of August 2021. Compensation provided for using, not obtaining, the rating. For the 23rd time, Edward Jones has earned a spot on the Fortune 100 Best Companies to Work For® ranking by Great Places to Work® and Fortune® magazine.
Edward Jones ranked No. 35 on the prestigious 2022 list. 2022 Best Places to Work For LGBTQ Equality, Great Place to Work® in partnership with Human Rights Campaign Foundation, published Equity Magazine January 2022, data as of July 2021. Compensation provided for using, not obtaining, the rating. Edward Jones scored 100 percent on the Human Rights Campaign Foundation’s 2022 Corporate Equality Index (CEI) the nation’s foremost benchmarking survey and report measuring corporate policies and practices related to LGBTQ workplace equality. The ranking designated Jones as one of the best places to work for LGBTQEquality.
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. Category: Headquarters
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