Field Supervision Officer II

• Job Description:

• Do you enjoy putting pieces together to understand the bigger picture and partner 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 choices 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 Officers are registered with FINRA as designated supervisory principals to enforce firm and regulatory compliance rules utilize extensive electronic processing systems and exception reports to complete work and provide support to branch offices regarding client activity, firm policies, and industry regulations.

• Key Responsibilities:

• + Review of non-supervisory and basic supervisory client and branch activity to identify fraudulent or manipulative activity.

+ Review of electronic communication for branch teams and home office associates. + Verify account information and accuracy through contacts with our clients and branch teams. + Identify supervisory issues, trends, and potential concerns in branch activity and effectively communicate them to clients, Financial Advisors, and home office associates. + Develop and deliver training, coaching and feedback.

• Company description
• At Edward Jones, we help clients achieve their serious, long-term financial goals by understanding their needs and implementing tailored solutions.

To ensure a personal client experience, we have located our 15,000+ branch offices where our more than 7 million clients live and work. In a typical branch office, a financial advisor meets with clients and receives branch office support, so they can focus on building deep relationships with clients. Headquarters associates in St. Louis, Tempe and Mississauga provide support and expertise to help U.S. and Canada branch teams deliver an ideal client experience. We continue to grow to meet the needs of long-term individual investors.

• Awards and Accolades
• + 100 Best Workplaces for Millennials in 2022, published Fortune July 2022, Great Places to Work® data as of March 2022.

Compensation provided for using, not obtaining, the rating. + Edward Jones was recognized as one of the Best Workplaces for Millennials by Great Places to Work® and Fortune® magazine. The privately held firm ranked No. 2 overall, in its fourth appearance on the list. + 2022 Fortune Best Workplaces for Women, published September 2022, research by Great Places to Work®, data as of August 2021. Compensation provided for using, not obtaining, the rating. + Edward Jones has been named to the 2022 Best Workplaces for Women list by Great Places to Work® and Fortune® magazine, ranking No. 45. + 2022 Fortune's 100 Best Companies to Work For, published April 2022, research by Great Place to Work®, data as of August 2021. Compensation provided for using, not obtaining, the rating. + For the 23rd time, Edward Jones has earned a spot on the Fortune 100 Best Companies to Work For® ranking by Great Places to Work® and Fortune® magazine. Edward Jones ranked No. 35 on the prestigious 2022 list. + 2022 Best Places to Work For LGBTQ+ Equality, Great Place to Work® in partnership with Human Rights Campaign Foundation, published Equity Magazine January 2022, data as of July 2021. Compensation provided for using, not obtaining, the rating. + Edward Jones scored 100 percent on the Human Rights Campaign Foundation's 2022 Corporate Equality Index (CEI) the nation's foremost benchmarking survey and report measuring corporate policies and practices related to LGBTQ+ workplace equality. The ranking designated Jones as one of the best places to work for LGBTQ+Equality.

• Awards and Accolades
• 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.
• Requirements
• + Series 7 license that is currently active and has been held a minimum of one year + Must obtain Series 9, 10, 24, and 66 within 4 months of hire +

Flexible Study Options:

Full-time and/or part time study available, based on departmental needs. +

Structured Exam Support:

Access to coaching resources to help organize and optimize your study schedule. +

• Preferred Requirements:

• + Insurance license is preferred + General understanding of compliance or industry experience is preferred + One to two years of compliance experience is preferred + Bachelor's degree _or_ equivalent experience is preferred, but not required
• _•Candidates that live within a commutable distance from our Tempe, AZ and St.

Louis, MO home office locations are expected to work in the office four days per week effective June 1, 2026. Before June 1, 2026, candidates that live within a commutable distance from our Tempe, AZ and St. Louis, MO home office locations are expected to work in the office three days per week, with preference for Tuesday through Thursday.

• "_•Current home-based associates please note:•Even as a hybrid posted role •you are eligible to apply•and, if selected, may retain your home-based status.

However future business or regulatory needs may require on-site work and some roles may carry a preference for hybrid presence.