Take on the Compliance Officer position at Edward Jones. This role focuses on upholding regulations related to securities and insurance in a 14-month contract.
As a Compliance Officer, you'll be responsible for compliance with laws and internal policies for the firm and its branch locations. Your duties will include preparing compliance communications, implementing policies, monitoring compliance activities, and conducting training sessions for staff. Your guidance will foster a strong compliance culture.
Key Responsibilities:
• Report to CIRO and regulatory bodies before deadlines
• Create and maintain compliance policies and procedures
• Write Compliance Bulletins for team communication
• Recommend actions for identified compliance issues
• Conduct training for compliance messaging
Requirements:
• Bachelor's degree or equivalent experience
• 3-5 years in compliance roles required
• Required certifications: CSC or RR Exam
• Preferred: Investment Dea...