Join a financial services firm where your contributions are valued. Edward Jones is a Fortune 500¹ company where people come first. With over 9 million clients and 20,000 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.
View our Purpose, Inclusion and Citizenship Report.
¹Fortune 500, published June 2024, data as of December 2023. Compensation provided for using, not obtaining, the rating.
If you’re looking to make a meaningful impact in a highly visible regulatory role while shaping a strong culture of compliance, this is an opportunity to elevate your career and make a difference. We are excited to offer a compelling opportunity for a highly motivated and experienced compliance professional to join our team as a Senior Branch Compliance Officer (Sr. BCO) of Managed Accounts, a pivotal role that directly influences the strength of our supervisory framework and the integrity of our business.
The Sr. BCO is registered with the Canadian Investment Regulatory Organization (CIRO) as a ‘Supervisor Responsible for the Supervision of Managed Accounts'. This role is a critical regulatory and supervisory role, responsible for Tier 1 oversight and managing escalations related to the compliance of business activities conducted by the firm’s registrants and associates. This position plays an essential role in supporting a strong culture of compliance while enabling the business to operate effectively within regulatory requirements.
As a registered Supervisor of Managed Accounts, the Sr. BCO serves as a trusted advisor to branch teams, delivering timely and practical guidance on compliance and procedural matters - protecting clients, the firm, Financial Advisors, and the broader industry by upholding the highest standards of ethical conduct. Leveraging strong knowledge of products, services, and regulatory requirements, the Sr. BCO executes first line of defense compliance monitoring, ensuring that risks are identified, assessed, and addressed in alignment with firm policies and regulatory expectations.
The Sr. BCO actively contributes to risk assessment and mitigation strategies, helping to protect the firm’s reputation and maintain client trust. This position carries regulatory accountability for supervisory effectiveness, as defined under CIRO IDPC Rule 3900.
In addition, the role provides leadership through mentoring, coaching, and development of fellow Supervisors, as well as new and experienced Compliance Officers and Compliance Specialists, strengthening overall supervisory capabilities across the organization.
Responsibilities include:
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Compliance Oversight: Monitor and review the daily activities and transactions of financial advisors and their teams to ensure compliance with both external regulations and internal policies, addressing discrepancies or issues promptly.
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Advisor Support and Guidance: Serve as the primary point of contact for all compliance-related inquiries from assigned branches, providing timely and accurate guidance to financial advisors on the interpretation and application of regulatory and policy requirements.
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Facilitate Compliance Partnership Classes for Financial Advisor Trainees and Registered Branch Associates.
- Review, assess and approve Outside Activities Disclosures submitted by associates of Edward Jones, including financial advisors, registered branch associates, CSTs and home office associates.
- Risk Management: Identify potential compliance risks within branch activities and collaborate with other compliance teams to develop effective mitigation strategies.
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Reporting and Documentation: Maintain detailed records of compliance activities and oversight. Reporting to leadership as needed, outlining potential risks and observations on the effectiveness of control measures.
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Partner proactively with branch and home office associates to align activities with the best interests of clients, the firm, and the industry.
- Conduct on-site branch visits to enhance supervision, provide compliance education and guidance, and build relationships with branch associates.
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Contact clients as needed to discuss trade activity and ensure proper disclosures have been made.
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Communicate supervisory issues or concerns to senior leadership, clients, financial advisors, home office associates, and industry regulators.
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Assist with workflow management, supervision-related issues and act as a backup for Sr Compliance Officers to ensure adequate coverage during absences.
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Provide leadership and guidance to other team members, ensuring a team orientated, collaborative environment
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Support divisional and firm-wide initiatives, participating actively in the evolution of the firm's Compliance program.
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A University degree, College Diploma or equivalent work experience is required.
- Required courses:
- Canadian Securities Course (CSC)
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Conduct and Practices Handbook (CPH)
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Investment Dealer Supervisors Course (IDSC)
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Chartered Investment Manager Designation (CIM®) preferred
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5+ years of relevant experience working for an investment dealer
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Registered Supervisor of Registered Representatives with CIRO
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Current registration must include the category of 'Supervisor responsible for the Supervision of Managed Accounts', or CIM designation and 2+ years of experience working at a CIRO dealer member is required.
- Project management
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Process-minded, organized, with an eye for detail and excellent analytical skills
- Must have in-depth knowledge of industry regulations, firm policies, business practices and product offerings
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Ongoing understanding of industry issues, trends and hot topics
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Understanding of firm's supervisory systems and supervisory procedures is required.
- Strong analytical, organizational and problem-solving skills
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Superior communication skills (both verbal and written) with the ability to influence directly and indirectly; deliver presentations on supervisory and compliance topics at regional and business events; deliver difficult / complex messages to financial advisors in a fair and professional manner; clearly and succinctly articulate with various industry regulators/representatives during examinations, inquiries, or during dispute resolution.
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
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.
