Field Supervision Director - Investment Advisory

Company: Edward Jones
Location: Tempe
Posted on: March 26, 2025

Job Description:

Want a meaningful career where you can make a difference? Edward Jones sounds perfect for you.

Collaboration. Autonomy. Opportunity. Words our headquarters associates use when talking about working at Edward Jones. Words that describe what it's like being part of a firm where everyone is aligned toward a singular focus: serving the client. And everyone is working to make the firm better together - as they grow as individuals. If these words resonate with you, we should talk.

Job Overview

Position Schedule: Full-Time

Do you enjoy putting pieces together to understand the bigger picture and partnering to solve complex issues? If so, there is an exciting career opportunity waiting for you in our Field Supervision Department!

Description: The Field Supervision Department plays a critical role in achieving the Compliance Division's purpose of promoting our client's best interests and choices by partnering to improve our culture of compliance and enable the best experience for all. Our associates are our greatest asset, and the opportunity to increase our client impact is directly related to our success in attracting, retaining, and developing a talented and diverse workforce.

Investment Advisory Field Supervision Directors are registered with FINRA as designated supervisory principals to enforce firm and regulatory compliance rules and policies in the firm's Investment Advisory programs. In this role, you will prevent, detect, and mitigate risk by examining fee-based transactions, identifying suitability concerns, and evaluating Branch advisory business.

Key Responsibilities:

• Guide Branch Teams in building a successful and compliant fee-based business.
• Identify trends and patterns in branch and client advisory transactions to establish appropriate action.
• Effectively communicate choices that have firm and regulatory implications for clients, Financial Advisors, and Branch Office Administrators
• Consultant on fee-based business to ensure compliance with industry regulations, and firm policies for annuities.
• Influence and drive discussion regarding fee-based business with Branch Teams, Regions, and stakeholders across the firm.
• Represent the firm through direct contact with clients to discuss advisory business and confirm understanding of risks and benefits in relation to industry regulation and firm investment philosophy.
• Candidates that live within in a commutable distance from our Tempe, AZ and St. Louis, MO home office locations are expected to work in the office three days per week, with preference for Tuesday through Thursday.
  
  At Edward Jones, we value and respect our associates and their contributions, and we recognize individual efforts through a rewards program that promotes a long-term career, financial security and well-being. Visit our career site to learn more about our total compensation approach, which in addition to base salary, typically includes benefits, bonuses and profit sharing. The salary range for this role is based on national data and actual pay is based on skills, experience, education, and other relevant factors for a potential new associate:
  
  Hiring Minimum: $72700
  Hiring Maximum: $119800
  
  Qualified applicants with arrest or conviction records will be considered for employment in accordance with the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act. Edward Jones is prohibited from hiring individuals with certain specified criminal history as set forth in Section 3(a)(39) and 15(b)(4) and Rule 17a-3(a)(12) of the Securities and Exchange Act of 1934, and conducts background reviews consistent with FINRA Rule 3110(e). A copy of a notice regarding the provisions of the Los Angeles County Fair Chance Ordinance is available at: dcba.lacounty.gov/wp-content/uploads/2024/08/FCOE-Official-Notice-Eng-Final-8.30.2024.pdf .
  
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  Skills/Requirements
  
  
  • Series 7 license required that is currently active and held for a minimum of one year
  • Series 9, 10, 24 and 66 licenses are required or must be obtained within 4 months of hire
  • Preferred Requirements:
    --- Insurance license
    --- General understanding of compliance or industry experience
    --- Bachelor's degree in business-related field
    
    Read More About Skills/Requirements
    
    Awards & Accolades
    
    At Edward Jones, we are building a place where everyone feels like they belong. We're proud of our associates' contributions to the firm and the recognitions we have received.
    
    Check out our U.S. awards and accolades: Insights & Information Blog Postings about Edward Jones
    
    Check out our Canadian awards and accolades: Insights & Information Blog Postings about Edward Jones
    
    Read More About Awards & Accolades
    
    About Us
    
    Join a financial services firm where your contributions are valued. Edward Jones is a Fortune 500 company where people come first. With over 8 million clients and 19,000 financial advisors across the U.S. and Canada, we're proud to be privately-owned, placing the focus on our clients rather than shareholder returns.
    
    Behind everything we do is our purpose: We partner for positive impact to improve the lives of our clients and colleagues, and together, better our communities and society. We are an innovative, flexible, and inclusive organization that attracts, develops, and inspires performance excellence and a sense of belonging.
    
    People are at the center of our partnership. Edward Jones associates are seen, heard, respected, and supported. This is what we believe makes us the best place to start or build your career.
    
    View our Purpose, Inclusion and Citizenship Report .
    
    1Fortune 500, published June 2023, data as of December 2022. Compensation provided for using, not obtaining, the rating.
    
    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.
    
    

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