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Senior Team Leader
Edward Jones Investments
Tempe, AZ, United States
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Opportunity Overview
Responsibility Summary:
• Responsible for overall performance of a high risk, complex team, including establishing and achieving key performance indicators, key goals and objectives, risk mitigation, and compliance with supervisory procedures and regulations.
• Full management responsibility for a diverse team of as many as 15 associates.
• Must have an understanding of the team and department functions, processes, and/or systems supported by the team and department, within 6 months of hire, and be an expert on the team's systems, processes, and/or functions within 12 months of hire.
• Must be knowledgeable of and responsible for the development and performance of key systems in US and/or Canada. Must utilize technology and tools available to identify and implement solutions and create process efficiencies for the team and/or department in a high-volume, deadline-driven environment.
• The teams led by these individuals have the highest levels of risk and complexity. Risk includes financial, client service, and process/control. Complexity includes processes, systems, products and regulations.
• Must anticipate, analyze, recommend and implement solutions regarding team processes, systems, regulations, resource allocation, and controls not guided by policies or procedures.
• Responsible for working with other areas in the firm, vendors and auditors.
• Decisions are complex, non-routine and require the exercise of judgment that represent an assumption of business risk. Decisions and recommendations often have significant impact to the firm and our clients and may require review by the Department Leader.
• Poor decisions could result in significant financial, tax, legal, regulatory and client service risk.
• Participates in industry groups and may influence industry practices.
Position Requirements
• Bachelor's degree or equivalent experience required. Concentration in business, accounting, finance or management are preferred, but other concentrations will be considered.
• Series 99 required within 90 days of start date for US leaders; Series 7 and 66 required within 12 months of start date for U.S. leaders. Outside the US, appropriate country-specific licenses required.
• 5 or more years financial services industry or accounting experience, with operations experience strongly preferred. 3 or more years management experience in the financial services industry, or audit experience.
• Must have a basic understanding of major functions in US and/or CAN brokerage Operations, including books and records, trades, packaged products, and processing of cash, securities and accounts. Must also have in-depth knowledge of one or more of the major functions.
• Must have an understanding of the team and department functions, processes, and/or systems supported by the team and department, within 6 months of hire, and be an expert on the team's systems, processes, and/or functions within 12 months of hire.
• Must have strong collaboration, problem solving, decision making and critical thinking skills.
• Must have the ability to proactively identify risks and design and implement effective controls to mitigate risks.
• Must have demonstrated ability to collaborate and influence decision making on technology initiatives and/or projects.
• Must be able to effectively communicate, lead a team and manage relationships with others based in multiple locations.
Problem Solving:
• Must understand and consider upstream and downstream impacts, including impacts to the branch and client experience. Because of the higher complexity of the products, systems and processes in teams led by Senior TLs, this has a higher level of risk if the problem is not resolved appropriately.
• Must anticipate, analyze, recommend and implement solutions regarding team processes, systems, regulations, resource allocation, and controls. Must provide direction to those responsible to them to help make informed decisions.
• Demonstrated ability to identify and effectively resolve difficult or complex problems that are non-routine or in gray areas with little to no guidance.
• Must utilize technology and tools available to identify and implement solutions and create process efficiencies for the team and/or department in a high-volume, deadline-driven environment.
Decision Making:
• Decisions are complex, non-routine and require the exercise of judgment that represent an assumption of business risk. Decisions and recommendations often have significant impact to the firm and our clients and may require review by the Department Leader.
• Poor decisions could result in significant financial, tax, legal, regulatory and client service risk.
• Decision making will involve providing guidance and oversight of decisions made by associates responsible to the Sr. Team Leader and/or other leaders, ensuring alignment with the firm's objectives and values.
Span of Influence:
• Responsible for overall performance of a high risk, complex team, including establishing and achieving key performance indicators, key goals and objectives, risk mitigation, and compliance with supervisory procedures and regulations.
• Full management responsibility for a diverse team of as many as 15 associates. Manages non-exempt and exempt associates and may involve distance leadership.
• Accountable for attracting, developing, retaining and ensuring proper training of a diverse workforce. Mentors associates and other leaders
• Responsible for working with other areas in the firm, vendors and auditors. This includes: partnering with these entities, working with them on system or process changes, participating in problem resolutions and may be involved in vendor contract review.
• Participates and contributes to the area, division, and firm objectives.
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
• For the 19th year, Edward Jones was named one of the “100 Best Companies to Work For®” by FORTUNE magazine in its annual listing. The firm ranked No. 5 overall. These 19 FORTUNE rankings include top 10 finishes for 15 years, top 5 rankings for eight years and consecutive No. 1 rankings in 2002 and 2003.
From FORTUNE Magazine, February 15, 2018 © 2018 Time Inc. Used under license. 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.