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Job Details

Compliance Assistant - Investigations - St. Louis MO

Company name
Edward Jones

Location
Saint Louis, MO

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Job 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 14,000 branch offices where our more than 7 million clients live and work. A typical branch office has one financial advisor who meets with clients face-to-face and one branch office administrator who enhances the team's ability to build deep relationships with clients. Headquarters associates in St. Louis and Tempe provide support and expertise to help U.S. and Canada branch teams deliver an ideal client experience. Edward Jones currently has more branch offices than any other financial services firm, and we continue to grow to meet the needs of long-term individual investors.

Opportunity Overview:

This position will provide support to the Compliance Investigation team. This team is responsible for investigating allegations of misconduct and violations of firm and regulatory policies.

Key Responsibilities:

This role will provide support in three key areas:

Department Administration

Effectively manage appointments, phone calls, mail, faxes and wires for the department.

Process outgoing correspondence and records according to the firm's privacy and information security policies.

Accurately maintain records through scanning and filing.

Coordinate logistics and expense reimbursement for departmental events.

Processing

Partner with project leads, coordinate and facilitate workflow of Department and divisional projects (e.g., investigations and regulatory matters).

Provide accurate and timely retrieval, review and dissemination of information and documents to support investigations and regulatory responses.

Generate and distribute departmental reports.

Client Service

Provide timely support for all departmental inquiries and requests.

Accurately answer administrative questions or refer inquiries to appropriate business areas.

Proactively improve the operational or administrative efficiency, effectiveness and service of the department.

Three years administrative experience required, preferably in the securities industry.

Proficiency in Microsoft Word, Excel, case management software (Legal Files experience preferred), and the operation of scanning devices.

Self-motivated to manage work independently and strong organizational skills to effectively prioritize throughout the day.

Deliver on requests with a high attention to detail.

Ability to work in a fast paced, deadline driven environment managing various priorities and work flow.

Collaboration and problem solving skills.

Ability to build and maintain relationships with various individuals and areas throughout the firm.

Bachelor's degree is preferred.

Company info

Edward Jones
Website : http://www.edwardjones.com

Company Profile
A financial services leader with a presence in the United States and Canada, we're known for our personal approach to business. Everyone here, whether they work in our headquarters or in their own neighborhood office as a Financial Advisor or branch office administrator, is dedicated to one purpose – helping our clients achieve their long-term financial goals. Learn why Edward Jones could be perfect for you.

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