Company: Edward Jones

Location: Mississauga, ON

Expected salary:

Job date: Sun, 02 Feb 2025 04:07:44 GMT

Job description: RecruiterKristy GilmoreOpportunity OverviewJoin a dynamic team of Compliance professionals, whose primary responsibility is to support branch teams, ensuring their understanding of and adherence to regulatory requirements and expectations, as well as supervision of clients’ managed accounts and branch team activities. We are seeking a Supervisor of Managed Accounts to join our Compliance and Field Supervision Department.The Supervisor of Managed Accounts known internally at Edward Jones as a Senior CAP Field Supervision Director (Sr. CAP FSD) is registered with the Canadian Investment Regulatory Organization (CIRO) as a ‘Supervisor Responsible for the Supervision of Managed Accounts’. The primary objective of the Sr. CAP FSD is to protect the client, firm, financial advisor, and the industry, upholding high ethical standards. The Branch Supervisor must have in-depth knowledge of a broad range of product and services as well as firm and industry policies and regulations.Responsibilities include:Day-to-day supervision of managed accounts, including managed account approvals, approval of model switches, comprehensive reviews and non-resident and Regulatory Desktop account review itemsActive participation in the development, and implementation of process improvements related to the managed account supervision programSupport an efficient and effective compliance program, helping ensure the firm and its associates continue to adhere to all regulatory requirements, industry rules, and internal policies and proceduresProvide timely guidance, address inquiries and conduct follow-up as needed with branch teams, making contact with clients as requiredIdentify potential issues/trends/patterns with client accounts, taking corrective action where necessaryEngage in ongoing communication with other Supervisors, Compliance, Branch Audit, Leaders and the Managed Accounts CommitteeSupport divisional and firm-wide initiatives, participating actively in the evolution of the firm’s Compliance andField Supervision program and the Canadian Advisory Platform.Provide leadership and guidance to other team members, ensuring a team orientated, collaborative environmentPosition 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 RequirementsCurrent registration as a Supervisor Responsible for the Supervision of Managed Accounts with the Canadian Investment Regulatory Organization (CIRO)3-5 years of compliance or supervisory experience with a CIRO dealer member, with a primary focus on Tier 1 Supervision activitiesBachelor’s degree preferredRequired Courses: Canadian Securities Course (CSC), the Conduct and Practices Handbook (CPH), Wealth Management Essentials (WME) Course and Investment Dealer Supervisors Course (IDSC)Chartered Investment Manager Designation (CIM) preferredThis position requires comprehensive knowledge of industry rules and regulations, as well as an ongoing understanding of industry issues, trends and “hot topics”Strong communication skills, a competent public speaker, and be able to clearly articulate, communicate and customize messages and information to a wide audience.Must have a demonstrated ability to deliver difficult and/or complex messages to financial advisors and branch teams with empathy and emotional intelligence, and in a professional manner.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.