Financial Planning and Investments Oversight Officer
Edward Jones
Team Overview:The Edward Jones Generations® provides an end-to-end, high net worth (HNW) client experience by partnering with our branch teams to provide ongoing client services including holistic financial planning, tax and estate planning services via trusted 3rd parties, plan implementation via expanding sets of Edward Jones products and services, and ongoing reporting and support. We’re looking for strategic thinkers and collaborators who have a strong background in the many complex needs of financial planning as well as a deep desire to put their clients first in everything they do.
What You Will Do;
The Financial Planning and Investments Oversight Officer provides expert-level oversight of fiduciary financial planning and discretionary investment management within Generations® ensuring alignment with fiduciary financial planning standards, client objectives, and firm investment philosophy. This role reviews and evaluates financial plans, portfolio strategies, asset allocations, and policy exceptions, exercising independent judgment and delegated authority to mitigate firm risk and support performance outcomes. While not directly leading associates, the Oversight Officer influences quality and consistency through coaching, committee participation, and collaboration with financial planners, portfolio managers, tax and estate experts and internal stakeholders. The position plays a critical role in safeguarding investment integrity and supporting strategic initiatives across Edward Jones Generations™.
Responsibilities include:
- Review financial plans to ensure alignment with client objectives, fiduciary financial planning standards, and firm policy.
- Review investment strategies and asset allocations to ensure alignment with client objectives, fiduciary standards, and firm policy.
- Evaluate and escalate investment-related risks, including policy exceptions, concentration issues, and market exposures.
- Review and validate financial planning strategies for complex or high-net-worth client relationships.
- Review and validate portfolio construction approaches for complex or high-net-worth client accounts.
- Support the development and refinement of investment policies, procedures, and best practices.
- Provide coaching and training to help planners, strategists, and consultants deliver higher quality and personalized plans for clients
- Partner with firm Financial Planning to support the development and refinement of financial planning standards, procedures, and best practices for high net worth clients.
- Serve as a subject matter expert on financial planning and investment-related matters for internal stakeholders and committees.
- Document oversight findings and recommendations in a clear, actionable format.
- Contribute to training and onboarding of new portfolio managers Generations team members.
- Stay current on market trends, regulatory changes, and industry best practices.
- Support strategic initiatives that enhance investment oversight, client experience, and operational efficiency.
- Maintain department WSPs and SOPs associated with financial planning and investment management.