Company: Edward Jones

Location: Mississauga, ON

Expected salary:

Job date: Sun, 09 Mar 2025 02:22:56 GMT

Job description: RecruiterKristy GilmoreOpportunity OverviewResponsible to the Department Leader, Compliance, the Senior Compliance Officer – Conflicts of Interest (COI) is responsible for identifying and implementing strategies intended to mitigate the firm’s regulatory and financial risks related to conflicts of interest. The Senior Compliance Officer-COI is additionally responsible for the development, implementation, ongoing supervision and management of the Conflicts of Interest program to meet internal standards and regulatory requirements and expectations. This role will also provide meaningful support to the overall health of the compliance program policies and workflows.
Primary activities will include:

• Business Promotions and Sponsorships

• Supervisory functions related to:

• the review of business promotion and sponsorship requests with the authority to approve and/or reject requests
• the review of gifts and entertainment records and reports
• Identification of potential issues and/or trends and patterns and effectively addressing observations and compliance concerns with appropriate stakeholders, as deemed necessary.
• Provision of comprehensive regulatory guidance and advice, interpretations, and support to business partners, branch teams, and stakeholders by educating on internal requirements and regulatory expectations.
• Collaboration with product partners to assess accuracy of compliance reports, stay abreast of industry practices, and identify and effectively address potential issues.

• Conflicts of Interest Repository and Assessments

• Compliance monitoring, assessment and reporting of compliance risks related to conflicts of interest
• Partnership with all levels of leaders and associates to ensure ongoing compliance with expectations regarding the reporting, handling, and mitigation of conflicts of interest
• Maintenance of all conflicts of interest records and analysis of data submitted or reported by business partners, which includes an assessment of materiality for each identified conflict and ongoing reporting to the Partner responsible for the Compliance and Supervision division.
• Provision of strategic guidance and direction to all levels of leaders and associates on the handling of and proposed mitigation strategies for identified conflicts of interest.

• Conflicts of Interest Program

• Promotion of a culture of compliance and ethical behaviours
• Development, implementation, and maintenance of conflicts of interest policies, procedures, practices and training programs that are designed to promote ethical practices and mitigate risk.
• Keeping abreast of regulatory efforts and developments related to the management of conflicts and effectively sharing this information with all stakeholders
• Participation in and leading of special conflicts of interest projects from concept to completion
• Proactive planning, development, monitoring, revision of the conflicts program, including compliance policies and procedures related to conflicts
• Development, delivery and promotion of education and awareness programs to associates.

Position TypeHome Office – CanadaPosition ScheduleFull-TimeCompany DescriptionJoin 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.External Flexible Work Option(s)Hybrid, RemoteAwards and 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:Position Requirements

• Bachelor’s degree preferred or relevant work experience required
• CSC and CPH, or qualifying exams for initial CIRO registration, required or must be obtained within 12 months of hire
• 7+yrs securities industry with a minimum of 3 yrs in a Compliance capacity experience required
• Demonstrated knowledge of and ability to interpret and apply relevant securities industry rules and regulations
• Demonstrated ability to analyze and resolve complex matters
• Exceptional judgment with demonstrated ability to appropriately assess risk in complex matters
• Strong verbal and written communication skills, with a demonstrated ability to influence key internal and external stakeholders, including senior leadership
• Excellent organizational and prioritization skills in a deadline-driven environment

Salary InformationAt 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. 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.