Senior Director

3 weeks ago

Mississauga ON, Canada Edward Jones Full time

Join a dynamic team of Compliance professionals, whose primary responsibility is to support branch teams, ensuring their understanding of and adherence to regulatory requirements and expectations, as well as supervision of clients' managed accounts and branch team activities. We are seeking a Supervisor of Managed Accounts to join our Compliance and Field Supervision Department.

The Supervisor of Managed Accounts known internally at Edward Jones as a Senior CAP Field Supervision Director (Sr. CAP FSD) is registered with the Canadian Investment Regulatory Organization (CIRO) as a ‘Supervisor Responsible for the Supervision of Managed Accounts'. The primary objective of the Sr. CAP FSD is to protect the client, firm, financial advisor, and the industry, upholding high ethical standards. The Branch Supervisor must have in-depth knowledge of a broad range of product and services as well as firm and industry policies and regulations.

Responsibilities include:

Day-to-day supervision of managed accounts, including managed account approvals, approval of model switches, comprehensive reviews and non-resident and Regulatory Desktop account review items

Active participation in the development, and implementation of process improvements related to the managed account supervision program

Support an efficient and effective compliance program, helping ensure the firm and its associates continue to adhere to all regulatory requirements, industry rules, and internal policies and procedures

Provide timely guidance, address inquiries and conduct follow-up as needed with branch teams, making contact with clients as required

Identify potential issues/trends/patterns with client accounts, taking corrective action where necessary

Engage in ongoing communication with other Supervisors, Compliance, Branch Audit, Leaders and the Managed Accounts Committee

Support divisional and firm-wide initiatives, participating actively in the evolution of the firm's Compliance and

Field Supervision program and the Canadian Advisory Platform.

Provide leadership and guidance to other team members, ensuring a team orientated, collaborative environment
Current registration as a Supervisor Responsible for the Supervision of Managed Accounts with the Canadian Investment Regulatory Organization (CIRO)

3-5 years of compliance or supervisory experience with a CIRO dealer member, with a primary focus on Tier 1 Supervision activities

Bachelor’s degree preferred

Required Courses: Canadian Securities Course (CSC), the Conduct and Practices Handbook (CPH), Wealth Management Essentials (WME) Course and Investment Dealer Supervisors Course (IDSC)

Chartered Investment Manager Designation (CIM) preferred

This position requires comprehensive knowledge of industry rules and regulations, as well as an ongoing understanding of industry issues, trends and “hot topics”

Strong communication skills, a competent public speaker, and be able to clearly articulate, communicate and customize messages and information to a wide audience.

Must have a demonstrated ability to deliver difficult and/or complex messages to financial advisors and branch teams with empathy and emotional intelligence, and in a professional manner.

Join a financial services firm where your contributions are valued. Edward Jones is a Fortune 500¹ 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.

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