**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 Overview** **Position Schedule:** Full-Time The Compliance Officer (Trade Surveillance) plays a critical role in mitigating the firm's regulatory and financial risks related to retail and firm trading activities (equities and fixed income). This includes monitoring for infractions under UMIR, responding to inquiries from CIRO during audits, delivering trader training and participating in educational online and in person training for branch and home office associates. The role ensures the trade surveillance program remains robust and responsive. Key Responsibilities: + Trade Surveillance and monitoring + Handling of all CIRO required trade reporting, short and wash trade reporting and regulatory information requests. + Working with the US trading desk partners to ensure trade functions, supervision and oversight are occurring as expected and working with both the internal IT design teams to implement, and monitor customized supervision oversight plans tailored to specific circumstances. + Collaborate with internal audit, legal and other departments to ensure timely resolution of identified issues. + Lead the enhancement of compliance monitoring and testing frameworks, integrating analytics to improve effectiveness. + Develop and present comprehensive reports summarizing Tier 2 trade surveillance supervision activities, trends and outcomes. At 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. Visit our career site (https://careers.edwardjones.com/compensation-and-values/) 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. **Hiring Minimum:** $77000 **Hiring Maximum:** $127000 Read More About Job Overview **Skills/Requirements** Position Requirements: + CSC and CPH (CIRO new proficiency requirements once in effect) + Trader Training Course + Previous experience in a trading surveillance role with a deep understanding of the capital markets, best execution and UMIR. + Proven experience in senior compliance or regulatory roles, preferably with oversight responsibilities. + Expertise in Tier 2 supervision, trade surveillance, branch audits, conflicts of interest management, marketing compliance, and data-driven risk assessment. + Strong knowledge of regulatory frameworks and industry standards + Experience must be in a financial services or other highly regulated industry. Read More About Skills/Requirements **Awards & Accolades** At 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: Insights & Information Blog Postings about Edward Jones (https://careers.edwardjones.com/blog/?\_sft\_category=awards-accolades) Check out our Canadian awards and accolades: Insights & Information Blog Postings about Edward Jones (https://careers.edwardjones.com/en-CA/blogs/?\_sft\_category=awards-accolades-en-ca) Read More About Awards & Accolades **About Us** Join 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 Purpose, Inclusion and Citizenship Report (https://careers.edwardjones.com/blog/edward-jones-releases-annual-purpose-inclusion-and-citizenship-report/?codes=DIRECT&utm\_source=DIRECT) . 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