Compliance Officer

3 days ago

Calgary, Canada Edward Jones Full time

Overview Join a financial services firm where your contributions are valued. Edward Jones is a Fortune 500 company with over 9 million clients and 20,000 financial advisors across the U.S. and Canada. We are privately‑owned, placing focus on our clients rather than shareholder returns. Our purpose is to partner for positive impact, improving the lives of our clients, colleagues, and communities. Key Responsibilities Trade surveillance and monitoring related to equities and fixed income trading activities. Handle all CIRO‑required trade reporting, short and wash trade reporting, and regulatory information requests. Collaborate with US trading desk partners and internal IT design teams to implement and monitor customized supervision oversight plans. Work with internal audit, legal, and other departments to ensure timely resolution of identified issues. Lead the enhancement of compliance monitoring and testing frameworks, integrating analytics to improve effectiveness. Develop and present comprehensive reports summarizing Tier 2 trade surveillance supervision activities, trends and outcomes. Position Requirements CSC and CPH (CIRO new proficiency requirements once in effect). Trader Training Course. Previous experience in a trading surveillance role with a deep understanding of the capital markets, best execution and UMIR. Proven experience in senior compliance or regulatory roles, preferably with oversight responsibilities. Expertise in Tier 2 supervision, trade surveillance, branch audits, conflicts of interest management, marketing compliance, and data‑driven risk assessment. Strong knowledge of regulatory frameworks and industry standards. Experience must be in a financial services or other highly regulated industry. EEO Statement 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. 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. #J-18808-Ljbffr

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