EJ
Senior Branch Compliance Officer - Insurance
Edward Jones
- Location not stated
- Senior
- 2 days ago
- Risk Management
- Regulatory Compliance
- Insurance License
2 days ago
Opportunity Overview
The Senior Branch Compliance Officer - Insurance will have the opportunity to make a meaningful impact on the firm's compliance culture, strengthen risk management practices, and help protect the trust our clients place in us every day. You will join a collaborative team of professionals dedicated to excellence, integrity, and continuous improvement while serving in a position that directly influences the success and reputation of the organization.The Senior Branch Compliance Officer, Insurance plays a critical supervisory and regulatory role overseeing insurance-related business activities across the firm. As a registered Supervisor of Registered Representatives with CIRO and holder of required provincial insurance licenses, you will serve as a key subject matter expert, providing guidance to advisors and branches while executing first-line compliance oversight.
Partnering closely with the Compliance Manager, Insurance, you will help ensure business activities align with regulatory requirements, provincial insurance legislation, and internal policies. You'll assess and mitigate risk, support regulatory compliance initiatives, and contribute to maintaining the firm's reputation for integrity and client-focused service.
What You'll Do
- Supervise insurance-related business activities and regulatory compliance.
- Provide expert guidance on insurance regulations, policies, and procedures.
- Conduct compliance monitoring and risk assessments to identify and address potential issues.
- Escalate and help resolve regulatory, supervisory, and operational concerns.
- Partner with Compliance, Risk, and business leaders to strengthen controls and oversight.
- Stay current on regulatory developments and translate changes into actionable guidance.
- Mentor and coach Supervisors, Compliance Officers, and Specialists to build team expertise.
Position Requirements
- A University degree, College Diploma or equivalent work experience is required.
- Required courses: Canadian Securities Course, Conduct and Practices Handbook or CIRE
- Insurance licenses (Level 2 / Life License Qualification Program (LLQP) required for insurance supervision as well as having held a valid insurance license for 5 of the last 7 years.
- Registration as a 'Supervisor' in the past 2 years or 2+ years of experience with a CIRO dealer member is required. Compliance or supervisory experience is preferred.
- Two years of relevant experience working for an investment dealer
- Project management
- Critical Analysis and problem solving techniques
- Excellent written and verbal communication skills
- Facilitation/presentation skills
- Strong interest in Insurance
- Process-minded, problem solving skilled, organized, with an eye for detail and excellent analytical skills
Company Description
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 ourPurpose, Inclusion and Citizenship Report.
¹Fortune 500, published June 2024, data as of December 2023. Compensation provided for using, not obtaining, the rating.
Awards and 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
Check out our Canadian awards and accolades:Insights & Information Blog Postings about Edward Jones
EEO Statement
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.
Salary Information
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 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.- Position Schedule: Full-Time
- Position Type: Home Office - Canada
- External Work Arrangements: Campus-Based
- Recruiter: Kristy Gilmore
Senior Branch Compliance Officer - Insurance · Edward Jones