Senior Compliance Officer - Finance

Company: EDWARD JONES
Location: Columbia
Posted on: January 26, 2023

Job 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 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.The Registration Department plays a critical role in achieving the Compliance Division's mission of promoting our clients' best interest while helping to ensure the firm remains in compliance with industry rules and regulations. Registration associates are responsible for executing all of the tasks and processes involved in providing and maintaining proper security registration for FAs, BOAs, HQ associates and branch offices. Key Responsibilities:Complete Firm Reconciliation daily tasks. Reconcile data between Edward Jones and regulators.Work in collaboration with project teams to understand the problem, define the approach, assemble the data, perform the analysis, generate insights, test and present actionable information back to the business. Use Excel to merge, cleanse and transform data from multiple sources as needed for research.Assist with monthly, quarterly, and annual invoices.Assist with Annual Financial Planning for multiple expense reports to include managing and projecting budgets.Complete written supervisory reviews.Uses knowledge of the industry, regulatory and compliance environment and firm business functions and takes it into account when making decisions.Build relationships and collaborate with division stakeholders to identify and prepare for changes impacting clients and branch teamsInfluence and contribute to firm, division or department efforts which could include: Provide training, coaching and feedback to optimally create and maintain a strong learning environment and culture of compliance. Utilize OE/process improvement to organize and facilitate small to mid-size projects and/or act as a subject matter expert.Identify and analyze insights and communicate trends to influence solutions that impact the delivery of an ideal client experiencePromote, support and incorporate the change management philosophy to department and division initiativesEmploy system thinking and continual improvement to enhance the client experienceInitiate department improvements and informally run associates through escalations, oversights, projects and/or change.Understand and apply firm and industry policies and regulations to business decisions. Communicate with senior leadership across the division and firm.

Keywords: EDWARD JONES, Columbia , Senior Compliance Officer - Finance, Accounting, Auditing , Columbia, South Carolina