Field Supervision Director- Primary
Company: Edward Jones Investments
Location: Saint Louis
Posted on: January 7, 2026
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Job Description:
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 enable the best experience
for all. Our associates are our greatest asset, and the opportunity
to increase our client impact is directly related to our success in
attracting, retaining, and developing a talented and diverse
workforce.Field Supervision Directors are registered with FINRA as
designated supervisory principals to enforce firm and regulatory
compliance rules and policies over assigned branch offices.
Compliance Field Supervisors utilize extensive electronic
processing systems and exception reports to complete the
supervision of and provide help to branch offices regarding client
activity, firm policies, and industry regulations. 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. • Judgment making is evidenced 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. • Consultant on firm
offered products, asset allocation strategies, and investment
solutions for clients, to ensure 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 Requirements • Series 7 license required
that is currently active and held for a minimum of one year •
Series 9, 10, 24, and 66 licenses are required or must be obtained
within 4 months of hire Preferred Requirements:· • Insurance
license· • General knowledge of compliance or industry experience·
• Bachelor’s degree in business-related field
Keywords: Edward Jones Investments, Florissant , Field Supervision Director- Primary, Accounting, Auditing , Saint Louis, Missouri
