Senior Manager, Regulatory Compliance Management
3 weeks ago
Join a financial services firm where your contributions are valued. 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.
Edward Jones associates are seen, heard, respected, and supported. View our Purpose, Inclusion and Citizenship Report .
1 Fortune 500, published June 2023, data as of December 2022. 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 Branch Supervisor must have in-depth knowledge of a broad range of product and services as well as firm and industry policies and regulations.
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
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
Field Supervision program and the Canadian Advisory Platform.
Current registration as a Supervisor Responsible for the Supervision of Managed Accounts with the Canadian Investment Regulatory Organization (CIRO)
Bachelor’s degree preferred
Canadian Securities Course (CSC), the Conduct and Practices Handbook (CPH), Wealth Management Essentials (WME) Course and Investment Dealer Supervisors Course (IDSC)
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 .
At Edward Jones, w e are building a place where everyone feels like they belong. Insights & Information Blog Postings about Edward Jones 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.
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:
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