Branch Supervisor
4 days ago
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 15,000+ branch offices where our more than 7 million clients live and work.
In a typical branch office, a financial advisor meets with clients and receives branch office support, so they can focus on building deep relationships with clients. Headquarters associates in St. Louis, Tempe and Mississauga provide support and expertise to help U.S. and Canada branch teams deliver an ideal client experience. We continue to grow to meet the needs of long-term individual investors.
We are seeking a Branch Supervisor to join our Compliance Department.
The Branch Supervisor, know internally at Edward Jones as the Field Supervision Director (FSD) is registered with the Investment Industry Regulatory Organization of Canada (IIROC) as a ‘Supervisor’. The primary objective of the FSD is to protect the client, firm, financial advisor and the industry. 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:
- Partner with advisors and branch teams in an effort to assist them in building a successful and compliant business
- Day-to-day supervision of branch sales and activities
- Coach and educate branch teams on supervisory and compliance issues and best practices
- Identify potential issues/trends/patterns with client accounts, taking corrective action where necessary
- Communicate potential concerns or supervisory issues to clients, advisors, and home office associates
- Conduct supervisory branch visits
- Contact clients as required
- Registered as a Supervisor in the past 2 years, or 2+ years of experience with an IIROC dealer, with compliance or supervisory experience preferred.
- Bachelor’s degree preferred, or relevant work experience.
- Required courses: Canadian Securities Course (CSC), Conduct and Practices Handbook (CPH), Branch Manager’s Course (now called the Investment Dealer Supervisors Course (IDSC))
- Insurance license would be an asset
- This position requires strong product knowledge and knowledge of both industry regulations and firm policies. A strong understanding of the firm’s supervisory systems and supervisory procedures is required. Ongoing understanding of industry issues, trends and “hot topics” is also beneficial.
- Must have very strong communication skills, be a competent public speaker, and be able to clearly articulate, communicate and customize messages/information to a wide audience
- Must have demonstrated ability to deliver difficult and/or complex messages to financial advisors in a fair and professional manner.
- Mandarin would be an asset.
- 2021 FORTUNE 100 Best Companies to Work For® By Great Place to Work® and FORTUNE Magazine - Edward Jones was named No. 20 on the list.
- From FORTUNE ©2021 FORTUNE Media IP Limited. All rights reserved. Used under license. FORTUNE and FORTUNE 100 Best Companies to Work For are registered trademarks of Fortune Media IP Limited and are used under license. FORTUNE and Fortune Media IP Limited are not affiliated with, and do not endorse products or services of, Edward Jones Investments.
- 2021 Corporate Equality Index - Edward Jones joins the ranks of 767 major U.S. businesses that received top marks in the Foundation’s 19th annual scorecard on LGBTQ workplace equality.
- From The Human Rights Campaign. All Rights Reserved
- 2021 Training Top 100 list - Edward Jones ranked No. 19, up six spots from last year in its 21st consecutive year on this prestigious list.
- J.D. Power, 2021 - Edward Jones has ranked "highest in Employee Advisor Satisfaction among Financial Investment Firms" in the J.D. Power 2021 U.S. Financial Advisor Satisfaction Study.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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