Department Leader- Compliance Risk

Job title: Department Leader- Compliance Risk

Company: Edward Jones


Job description: Want a meaningful career where you can make a difference? Edward Jones sounds perfect for you.Collaboration. Autonomy. Opportunity. Words our headquarters associates use when talking about working at Edward Jones. Words that describe what it’s like being part of a firm where everyone is aligned toward a singular focus: serving the client. And everyone is working to make the firm better together – as they grow as individuals. If these words resonate with you, we should talk.Job OverviewPosition Schedule: Full-TimeThis job posting is anticipated to remain open for 30 days, from 17-Apr-2025. The posting may close early due to the volume of applicants.In this role, you will partner with numerous internal business areas throughout the firm to support the continued growth of Edward Jones Trust Company’s business and our commitment to bring to life the positive impact that our clients wish to have on their families and communities during their lifetimes and beyond. Your primary responsibilities will focus on maintaining and continually evolving the compliance program for the Trust Company, which is comprised of over 4,000 accounts totaling more than $5 billion in assets.The work is dynamic and requires: (i) strong collaboration and the ability to foster meaningful and deep relationships across the organization; (ii) the ability to prioritize and timely address numerous complex efforts simultaneously; (iii) flexibility and innovative approaches to successfully achieve optimal solutions for clients, branch teams and the firm; and, (iv) a growth mindset and adaptability to help the Trust Company evolve. If you exhibit these qualities, possess an aptitude for continual learning and prioritize being an instrumental partner dedicated to advancing the Trust Company’s business, we encourage you to apply.The Compliance Department Leader will lead a team of associates responsible for administering a risk-based compliance program intended to provide reasonable assurance to the board, governance committees and leadership that the Trust Company has an effective system of internal controls and complies with applicable laws and regulations while achieving its business objectives.What You Will Do:

• Day-to-day administration of the risk-based compliance program intended to provide reasonable assurance to the board, governance committees and leadership that the Trust Company has an effective system of internal controls and complies with applicable laws and regulations while achieving its business objectives.
• Day-to-day administration of the Trust Company’s risk-based Bank Secrecy Act (BSA)/Anti-Money Laundering (AML) internal control structure, including suspicious activity monitoring and reporting.
• Providing expert advice, information and specialized training on complex fiduciary, compliance and risk management issues to the Chief Compliance Officer (CCO), governance committees, senior leaders and associates, as well as key leaders in other areas of the firm.
• Collaborating with the CCO, governance committees and senior leadership to advise of the projected impact of changes in fiduciary laws, regulations and industry best practices, as well as recommend and implement associated changes to Trust Company policies, procedures, operating practices and strategic objectives.
• Managing ongoing relationships with the Trust Company’s regulators and auditors and serving as the Trust Company’s liaison during regulatory examinations and internal and external audits. This responsibility includes negotiating with examiners and auditors on preliminary findings, as well as coordinating formal responses to examination and audit reports and correction of reported exceptions.
• Participating actively as a member of the Trust Company’s leadership team to collectively provide oversight of fiduciary activities and formulate tactical direction and objectives.
• The Department Leader will also support efforts to identify, analyze and effectively manage the Trust Company’s reputation, strategic, operational, compliance, financial and other risks.

Edward Jones’ compensation and benefits package includes medical and prescription drug, dental, vision, voluntary benefits (such as accident, hospital indemnity, and critical illness), short- and long-term disability, basic life, and basic AD&D coverage. Short- and long-term disability, basic life, and basic AD&D coverage are provided at no cost to associates. Edward Jones offers a 401k retirement plan, and tax-advantaged accounts: health savings account, and flexible spending account. Edward Jones observes ten paid holidays and provides 15 days of vacation for new associates beginning on January 1 of each year, as well as sick time, personal days, and a paid day for volunteerism. Associates may be eligible for bonuses and profit sharing. All associates are eligible for the firm’s Employee Assistance Program. For more information on the Benefits available to Edward Jones associates, please visit our .Hiring Minimum: $140400
Hiring Maximum: $239100Skills/RequirementsWhat You Will Need:

• Bachelor’s degree is required, and a graduate degree is preferred.
• Minimum of 11 years of fiduciary risk and compliance experience is required and trust audit or regulatory examination experience is preferred.
• Must possess an advanced knowledge of fiduciary principles, applicable laws and regulations, and industry best practices
• Must possess the seasoned judgment necessary to independently interpret and apply legal and regulatory requirements and develop and implement methods to monitor operating practices for compliance with these requirements
• Must be able to analyze and interpret proposed and pending regulations to determine the impact to the firm
• Must be able to lead or facilitate enterprise-wide or specialized risk assessments
• Must have the ability to build collaborative relationships internally (e.g., with leaders and associates from the firm and each of the Trust Company’s business areas) and externally (e.g., with industry peers, external auditors and regulators)
• Must have the courage to exercise influence and diplomatically persuade others to implement recommended actions
• This position requires the ability to effectively lead a group of high-performing attorneys and/or other compliance professionals. The individual must be able to understand a wide range of regulations and regulatory issues and apply the facts of each situation to balance regulatory requirements with the firm’s business goals and objectives.
• Series 7, 24 and 66 are required within 6 months of role.

Awards & AccoladesAt 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:Check out our Canadian awards and accolades:About UsJoin 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 .¹Fortune 500, published June 2024, data as of December 2023. Compensation provided for using, not obtaining, the rating.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.#LI-HO

Expected salary: $140400 – 239100 per year

Location: Saint Louis, MO

Job date: Sun, 20 Apr 2025 07:36:43 GMT

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