Compliance Officer, CMPL
Location: St. Louis, MO
At Edward Jones, we help clients achieve their serious, long-term goals by understanding their needs and implementing tailored solutions. To ensure a personal client experience, we've located our 12,000+ branch offices in the neighborhoods where our nearly 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 them. 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 is seeking a Compliance Officer to support the growth of its investment advisory programs and affiliated mutual fund complexes. This position performs critical functions including providing regulatory advice and guidance to firm management, providing support for periodic diligence on sub-advisers, product partners, & service providers, supporting the development and maintenance of policies and procedures, supporting regulatory examinations, and performing compliance testing across the Firm.