Compliance Manager

4 months ago

Mississauga, Canada Edward Jones Full time

**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

Join a dynamic team of Compliance professionals whose primary responsibility it is to support branch teams to ensure their understanding of and adherence to regulatory requirements and expectations; as well as to supervise and oversight client accounts and branch activities. The Team Leader is responsible for managing and supervising the overall performance of compliance associates. He/she is responsible for hiring, retaining and developing associates to support current and future business needs and to prepare them for additional responsibilities. Additionally, the Team Leader supports the Director of Supervision and other senior division leaders with the implementation and execution of the division plan and other strategic objectives of the division.

The Team Leader will oversee a team within the Supervision department, whose core responsibility it is to monitor and supervise branch and client account activity. In particular, this team provides:

- Day-to-day supervision of client accounts, including the ongoing development of compliance and supervisory programs, the implementation of these programs, and the revision of existing programs to meet business and regulatory requirements necessary to support the firm's process improvements related to the Edward Jones supervision program
- General support related to Compliance and Supervision inquiries from branch teams and clients,
- Analytics, ongoing and ad hoc reporting to the Compliance and Supervision division
- Enhanced supervision and asset surveillance

The Team Leader will be responsible for:

- Promoting a sense of partnership between compliance, branch teams and other business areas.
- Establishing and communicating clear performance expectations and ensuring that work conducted by the team is accurate and completed in a timely and professional manner consistent with the firm's culture and values.
- Oversight of the day-to-day activities and core responsibilities of team associates
- Routinely providing insights on compliance matters.
- Leading or participating in projects.
- Representing Edward Jones at industry conferences or events as needed.
- Assisting in the creation and implementation of new or changed policies and procedures.
- Being involved in both internal and external audits.
- Promoting innovation, strategic thinking, and continuous improvement with the team.
- Ensuring cost projections and expense reports adhere to firm policy.

**Skills/Requirements**

Position Requirements:

- Required courses are the Canadian Securities Course (CSC), the Conduct and Practices Handbook (CPH), Investment Dealer Supervisors Course (IDSC), plus two years' experience with a CIRO dealer member.
- CIRO licensing and registration as a designated supervisor of client accounts for securities is strongly preferred.
- A university degree, college diploma or relevant work experience.
- Comprehensive knowledge of securities and insurance industry rules and regulations.
- Demonstrated ability to lead through change and ambiguity, use sound judgment, think innovatively, and take initiative, using a team approach, to drive a project from inception to completion with little direction.
- LLQP and/or CFP considered an asset

**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

**About Us**

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

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