Team Leader - Primary Field Supervision

at Edward Jones in Tempe, Arizona, United States

Job Description

This job posting is anticipated to remain open for 30 days, from 20-Jan-2026. The posting may close early due to the volume of applicants.

About-Us

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 15,000+ branch offices where our more than 7 million clients live and work.

In a typical branch office, a financial advisor meets with clients and receives branch office support, so they can focus on building deep relationships with clients. Headquarters associates in St. Louis, Tempe and Mississauga provide support and expertise to help U.S. and Canada branch teams deliver an ideal client experience. We continue to grow to meet the needs of long-term individual investors.

Job-Overview

Do you enjoy putting pieces together to know the bigger picture and partnering to solve complex issues? If so, there is an exciting career opportunity waiting for you in our Field Supervision Department!

The Field Supervision Department is accountable for supervising branch activity, conducting supervisory visits, reviewing client trade activity, approving new accounts, and responding to inquiries regarding compliance policies or procedures. This position is accountable for leading a team of Field Supervision Directors who provide help to our branch offices and internal departments

What You’ll Do:

+ Field Supervision Team Leaders (TL) are registered with FINRA as a supervisory principal to lead with the establishment, maintenance, and enforcement of firm and regulatory compliance rules and policies for designated principals on their assigned teams.

+ Utilize expertise of firm compliance policies and industry regulations to strategically direct complex, supervisory decisions.

+ Risk oversight of designated principals, evidenced in supervisory records, to ensure reasonable supervision is in alignment with firm and regulatory policies and procedures.

+ Establish performance expectations to ensure supervision is reasonable, timely, and in the best interest of the client.

+ Attract and retain a diverse team to meet current and future business objectives.

+ Mentor and coach team on identifying trends and patterns in branch and client activity while influencing next steps in progressive supervision

+ Engage associates to foster a growth mindset by supporting the planning and execution of a purposeful development plan.

+ Lead and implement complex projects to ensure firm business and supervision evolve with operational and regulatory demands.

+ Foster constructive partnerships by influencing and positively impacting discussions as a key decision maker with Branch Teams and various stakeholders across the firm.

+ Represent the firm as a leader within the department during industry conferences, legal proceedings, and regulatory matters.

+ Superior knowledge and expertise of firm offered products, asset allocation strategies, firm investment philosophy, and investment solutions for clients.

+ Direct and guide decision making on vulnerable or senior client escalations involving financial exploitation or diminished capacity, which impacts the actions taken by internal departments, state authorities, or local government bodies.

+ Authorize and reconcile routine and non-routine business expenses and client reimbursements to ensure appropriate usage of firm resources.

+ Enforce and assist in establishing and maintaining firm Written Supervisory Procedures (WSPs).

+ Travel may be required for compliance related matters.

**_**Candidates that live within a commutable distance from our Tempe, AZ and St. Louis, MO home office locations are expected to work in the office four days per week effective June 1, 2026. Before June 1, 2026, candidates that live within a commutable distance from our Tempe, AZ and St. Louis, MO home office locations are expected to work in the office three days per week, with preference for Tuesday through Thursday._

Skills-Requirements

Qualifications Required in the Job:

+ Series 7 required (Series 7 must be held for a minimum of 2 years)

+ Series 63 or 66 (or equivalent) required. If candidate only holds their Series 63, Series 66 (or equivalent) must be obtained within 4 months of hire)

+ Series 9 & 10 (or equivalent), 24, and insurance license required (or must be obtained within 4 months of hire)

+ Life and Health Insurance license is required.

+ Extensive securities product knowledge as well as knowledge of industry regulations, firm policies, and supervisory systems. Leadership, analytical, investigative, and decision-making skills are required.

Qualifications Preferred:

+ Bachelor’s degree or equivalent industry experience

+ Graduate level degree or additional industry certification(s) is preferred.

+ 7 years of industry experience or 5 years of supervisory experience, compliance oversight, or risk management.

+ Direct people leadership experience is preferred.

Problem Solving:

+ Analyze and interpret information and data to prevent, detect, and mitigate risk to clients, the firm, and Branch Teams.

+ Leverage firm and regulatory expertise to address and resolve escalated supervisory issues and unique trends.

+ Employ critical thinking and utilize discretion to navigate highly complex, non-routine issues involving firm policy and regulatory matters to ensure decisions made are in the best interest of the client.

+ Proficiently demonstrate conflict resolution skills with clients, Branch Teams, and various stakeholders across the firm to resolve difficult or complex issues.

Decision Making:

+ Autonomously make decisions and grant exceptions using seasoned judgement given regulatory risk is high and decisions may be scrutinized by the firm, FINRA, the SEC, and various state agencies.

+ Decisions could result in arbitration, litigation, Failure to Supervise charges, fines, and enforcement actions; decisions could also result in future tax, legal, or regulatory consequences, and could factor into client complaints, arbitration cases, and regulator inquiries or cases against the firm.

Span of Influence:

+ Lead a team of 8 – 12 designated supervisory principals and one Administrative Support Associate in multiple locations across geographies.

+ Influence the decisions impacting over 16,000 Branch Teams with approximately $1.8 trillion in assets under care.

+ A Failure to Supervise charge can be brought against registered principals, their leaders, and the firm in cases where there is a failure to impose, enforce, or implement an adequate system of supervision.

+ Individual, firm and regulatory liability is high in aggregate and will directly impact clients, Branch Teams, outside counsel, vendors, and the firm; outcomes include impact to employee registrations, potential expulsion from the industry, firm monetary fines, and reputational harm to the firm.

+ Critical and valued business partner across the organization for escalated issues where decisions are complex or non-routine in nature.

+ Drive consensus, influence decision making, and empower others using excellent communication skills.

+ Cultivate inclusive environment to produce engagement equity.

+ Promote a Culture of Compliance by aligning actions to the firm’s core values

Awards-Accolades

+ 100 Best Workplaces for Millennials in 2022, published Fortune July 2022, Great Places to Work® data as of March 2022. Compensation provided for using, not obtaining, the rating.

+ Edward Jones was recognized as one of the Best Workplaces for Millennials by Great Places to Work® and Fortune® magazine. The privately held firm ranked No. 2 overall, in its fourth appearance on the list.

+ 2022 Fortune Best Workplaces for Women, published September 2022, research by Great Places to W