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Field Supervision Director - Investment Advisory
Edward Jones Investments
Tempe, AZ, United States
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Opportunity Overview
Description:
Edward Jones is seeking an experienced financial-services professional to join the Field Supervision-Investment Advisory Team. This team supervises and supports Financial Advisors and Branch Office Administrators to ensure compliance with Firm policies and industry regulations regarding investment advisory activity.
Key Responsibilities:
• Supervise and support Financial Advisors and branch staff to ensure they follow firm policies and industry regulations regarding investment advisory activity, specifically all of the Advisory Solutions programs and any future advisory programs
• Review investment advisory activity on a daily basis
• Resolve conflicts between Branch Office Administrators, Financial Advisors and home office departments
• Respond to communication wires, e-mails, and phone calls in a timely manner
• Assist the department in identifying supervision needs and creation of processes and procedures for supervising investment advisory activity
Position Requirements
• Experience supervising Investment Advisory services is strongly preferred
• Bachelor's degree in business-related field is preferred, but not required
• Series 7 license required and must be held for a minimum of one year
• Series 66, 9, 10 and 24 licenses required or must be obtained within 4 months of hire
• Excellent verbal and written communication skills
• Strong conflict-management and problem-solving skills and independent decision making skills
• Must be flexible and a strong team player
• Minimal travel could be expected to other home office locations and branch offices
Company 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 14,000+ branch offices where our more than 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 clients. 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 currently has more branch offices than any other financial services firm, and we continue to grow to meet the needs of long-term individual investors.
Awards and Accolades
• Edward Jones ranked No. 5 in the FORTUNE 100 Best Companies to Work For® list for 2017
• In 2016, Fortune Magazine ranked us seventh on their list of the 100 Best Workplaces for Women. The list is based, among other things, on employee benefits, flexible scheduling and work-life balance.
Fortune and Time Inc. are not affiliated with and do not endorse products or services of Edward Jones.
EEO Statement
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.