Field Supervision Director - Primary
Edward Jones, Tempe, AZ, United States
Position Schedule:
Full‑Time
Do you enjoy putting pieces together to know the bigger picture and partnering to solve complex issues? If so, there is an exciting career opportunity waiting for you in our Field Supervision Department.
Description The Field Supervision Department plays a critical role in achieving the Compliance Division’s purpose of promoting our client’s best interests and options by partnering to improve our culture of compliance and enabling the best experience for all. Our associates are our greatest asset, and the opportunity to increase client impact is directly related to our success in attracting, retaining, and developing a talented and diverse workforce.
Key Responsibilities
Enforce firm and regulatory compliance rules and policies for assigned Branch Teams.
Prevent, detect, and mitigate risk to clients, the firm, and Branch Teams by examining client account activity, identifying suitability concerns, and evaluating Branch business.
Make judgment calls documented in supervisory records and subject to regulatory scrutiny.
Partner with leadership to provide input and guidance on establishing and maintaining firm WSPs.
Advance knowledge and expertise of industry regulations and firm policies.
Act as consultant on firm‑offered products, asset‑allocation strategies, and investment solutions for clients, ensuring alignment with industry regulation and firm investment philosophy.
Guide Branch Teams in building a successful and compliant business.
Influence and drive discussion on compliance topics with Branch Teams, Regions, and various stakeholders across the firm.
Represent the firm through direct contact with clients to discuss account activity and confirm knowledge of risks and benefits in relation to industry regulation and firm investment philosophy.
Travel may be required for Branch Team supervisory visits, regulatory examinations or events, and compliance‑related matters.
Benefits & Compensation The salary range for this role is based on national data and actual pay is based on skills, experience, education, and other relevant factors.
Hiring Minimum:
$74,600
Hiring Maximum:
$122,800
Benefits include base salary, bonuses, profit sharing, and a comprehensive benefits package. The position may be hybrid; employees within commutable distance of Tempe, AZ or St. Louis, MO are expected to work from the office four days per week, effective 1 June 2026.
Required Qualifications
Series 7 license required; currently active and held for a minimum of one year.
Series 9, 10, 24, and 66 licenses are required or must be obtained within four months of hire.
Strong analytical and judgmental skills.
Excellent communication and interpersonal skills.
Preferred Qualifications
Insurance license.
General knowledge of compliance or industry experience.
Bachelor’s degree in a business‑related field.
Ability to work in the office four days per week (3 days prior to 1 June 2026) at Tempe, AZ or St. Louis, MO.
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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Full‑Time
Do you enjoy putting pieces together to know the bigger picture and partnering to solve complex issues? If so, there is an exciting career opportunity waiting for you in our Field Supervision Department.
Description The Field Supervision Department plays a critical role in achieving the Compliance Division’s purpose of promoting our client’s best interests and options by partnering to improve our culture of compliance and enabling the best experience for all. Our associates are our greatest asset, and the opportunity to increase client impact is directly related to our success in attracting, retaining, and developing a talented and diverse workforce.
Key Responsibilities
Enforce firm and regulatory compliance rules and policies for assigned Branch Teams.
Prevent, detect, and mitigate risk to clients, the firm, and Branch Teams by examining client account activity, identifying suitability concerns, and evaluating Branch business.
Make judgment calls documented in supervisory records and subject to regulatory scrutiny.
Partner with leadership to provide input and guidance on establishing and maintaining firm WSPs.
Advance knowledge and expertise of industry regulations and firm policies.
Act as consultant on firm‑offered products, asset‑allocation strategies, and investment solutions for clients, ensuring alignment with industry regulation and firm investment philosophy.
Guide Branch Teams in building a successful and compliant business.
Influence and drive discussion on compliance topics with Branch Teams, Regions, and various stakeholders across the firm.
Represent the firm through direct contact with clients to discuss account activity and confirm knowledge of risks and benefits in relation to industry regulation and firm investment philosophy.
Travel may be required for Branch Team supervisory visits, regulatory examinations or events, and compliance‑related matters.
Benefits & Compensation The salary range for this role is based on national data and actual pay is based on skills, experience, education, and other relevant factors.
Hiring Minimum:
$74,600
Hiring Maximum:
$122,800
Benefits include base salary, bonuses, profit sharing, and a comprehensive benefits package. The position may be hybrid; employees within commutable distance of Tempe, AZ or St. Louis, MO are expected to work from the office four days per week, effective 1 June 2026.
Required Qualifications
Series 7 license required; currently active and held for a minimum of one year.
Series 9, 10, 24, and 66 licenses are required or must be obtained within four months of hire.
Strong analytical and judgmental skills.
Excellent communication and interpersonal skills.
Preferred Qualifications
Insurance license.
General knowledge of compliance or industry experience.
Bachelor’s degree in a business‑related field.
Ability to work in the office four days per week (3 days prior to 1 June 2026) at Tempe, AZ or St. Louis, MO.
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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