Compliance Officer II
Edward Jones
Do you enjoy helping others learn and solve problems? If so, there is an exciting career opportunity waiting for you in our Compliance Service Department!The Compliance Service Department's purpose is to serve as the primary resource for branch teams and home office areas to understand and apply compliance policies that enable and accelerate the branch team and client experience. The department provides guidance on general Compliance policies and processes in response to inquiries from branch teams and home office associates, via phones, Service Requests and other tools or systems.
Compliance Officers have relative autonomy to resolve routine to semi-complex issues which require interpretation of policies, procedures, or regulations. Associates utilize seasoned judgment to identify and understand when an issue needs to be escalated for further review or action to branch teams or clients. This may include associates acting as an intermediary with branches and other departments within the firm to resolve problems.
Responsibilities of the role require interaction that will impact branch teams, and other home office areas while promoting a culture of compliance. Associates use conflict management, effective communication and problem-solving skills with financial advisors, branch staff, leaders, peers and others in the firm.
A Compliance Officer II has a relatively broad responsibility to deal with more complex situations which have implications for individual customers and/or business stakeholders. Associates assist in the creation and implementation of training materials as well as department, division, and firm communications related to compliance matters. They assist in the coaching and development of other team members. Project work often involves process improvement or analysis of business/regulatory changes.
What You'll Do:
- Provide education and training on general Compliance policies and processes in response to inquiries from branch team and home office associates, via phones, written case requests and other tools or systems; common support topics include:
- Communication with the public: social media, text messaging, sales correspondence, advertising, speaking engagements, FA bios and invitations
- Custodial Account disbursements and Rule 3210
- Support of general topics for Branch Audit and Record retention and
- Compliance manual policies
- Continually tailor solutions to various audiences in a fast-paced autonomous environment while quickly identifying branch needs and providing proper solutions
- Identify trends and patterns in branch and home office contacts to determine if follow-up or escalation is required and act as an escalation point for CO I
- Coach, educate and communicate potential concerns for general compliance or compliance manual policies to team members, branch teams and home office associates
- Staff the assist line in support of development and training of new associates
- Provide input into training and assist with observation and coaching to CSO and COI
- May lead small department projects or act as a subject matter expert
- Work in collaboration with internal business areas within the firm to drive policy revisions and updates
- May assist with oversights, monitoring, and assignment of workflow