**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 Sr. Compliance Officer (COI) is responsible for identifying and implementing strategies intended to mitigate the firm's regulatory and financial risks related to conflicts of interest. The Sr. Compliance Officer (COI) is additionally responsible for the development, implementation, and ongoing supervision and management of the Conflicts of Interest program to meet internal standards and regulatory requirements and expectations Key Responsibilities: + Supervisory functions related to the review of business promotion and sponsorship requests with the authority to approve and/or reject requests as well as 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 education on internal requirements and regulatory expectations. + Collaboration with product partners to assess accuracy of compliance reports, stay abreast of industry practice and identify and effectively address potential issues. + 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, including collaborating, as requested, on outside activities. + Maintenance of all conflicts of interest records and analysis of data submitted or reported by business partners, which include 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. + Development, implementation, and maintenance of conflicts of interest policies, procedures, practices and training programs designed to promote ethical practices and mitigate risk. + Development, delivery and promotion of education and awareness programs to associates. ** This is an 18 month contract position** 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:** $83900 **Hiring Maximum:** $142800 Read More About Job Overview **Skills/Requirements** Position Requirements: + Bachelor's degree preferred or relevant work experience + CSC, CPH and Investment Dealers Supervisory Course required or must be obtained within 12 months of hire. + Minimum 3-5 years experience in financial services or other highly regulated industry + Experience with both a Canadian Investment Regulatory Organization (CIRO) member investment dealer and/or an investment fund manager is strongly preferred + Demonstrated knowledge of and ability to interpret and apply relevant securities industry rules and regulations (including but no limited to National Instrument 31-103, National Instrument 81-105, CIRO Rule 42). + Proven experience in senior compliance or regulatory roles, preferably with oversight responsibilities. + Expertise in Tier 2 supervision, conflicts of interest management, and data driven risk assessment + Strong knowledge of regulatory frameworks and industry standards + Ability to interpret relevant securities rules, policies, guidance notes and national instruments. ** This is an 18 month contract position** 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.