Branch Audit- Compliance

The Compliance Division of Edward Jones is seeking an individual to be responsible for performing regulatory audits in compliance with NYSE Rule 342 and NASD Rule 3010.

Responsibilities :
-Review books and records, account information, some account activity
-Conduct a compliance discussion with each registered individual.
-Communicate issues and decisions to a host of people ranging from the Investment Representative, other home office associates and occasionally clients.

Requirements :
-50% travel per year required.
-Must obtain Series 9, 10, and 24 licenses within 3-6 months of hire.
-1 year Series 7 licensed experience.
-Compliance or supervisory experience preferred.
-Product knowledge is required.
-Strong communication skills.
-Strong problem solving/decision making skills.

(OL)

You may also apply directly through the Edward Jones on-line resume form: