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Saint Louis, MO

Senior Team Leader (Advisory), Operations

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 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. In the Operations Trading Capability, we provide clients, branch teams, and associates accurate, timely, and intuitive trading experiences through:
  • Diverse, skilled, and engaged associates and leaders who embrace continuous learning adaptability, and open idea sharing
  • Demonstrating partnership with each other, users, and other key stakeholders – "One Edward Jones"
  • Scalable, controlled, and compliant processes and systems
The Model Management Team is responsible for investment model event trading, model maintenance and controls for the firm's Advisory Solutions and Guided Solutions programs. This is a fast-paced environment where you can influence the future of our work and of the Investment Advisory Platforms. Responsibility Summary:  
  • Responsible for overall performance of a high risk, complex team, including establishing and achieving key performance indicators, key goals and objectives, risk mitigation, and compliance with supervisory procedures and regulations.
  • Full management responsibility for a diverse team of as many as 15 associates.
  • Must understand the team and department functions, processes, and/or systems supported by the team and department, within 6 months of hire, and be proficient on the team's systems, processes, and/or functions within 12 months of hire.
  • Must be knowledgeable of and responsible for the development and performance of key systems in US. Must utilize technology and tools available to identify and implement solutions and create process efficiencies for the team and/or department in a high-volume, deadline-driven environment.
  • This team has the highest levels of risk and complexity.  Risk includes financial, client service, and process/control.  Complexity includes processes, systems, products, and regulations.
  • Must anticipate, analyze, recommend, and implement solutions regarding team processes, systems, regulations, resource allocation, and controls not guided by policies or procedures.
  • Responsible for working with other areas in the firm, vendors, and auditors.
  • Decisions are complex, non-routine and require the exercise of judgment that represent an assumption of business risk which could include financial, tax, legal, regulatory and client service risk.  Decisions and recommendations often have significant impact to the firm and our clients and may require review by the Department Leader.
Position Requirements:
  • Bachelor's degree or equivalent experience required.  Concentration in business, accounting, finance, or management are preferred, but other concentrations will be considered.
  • SIE and Series 99 required within 89 days of start date (US); Series 7 required within 12 months of start date (US).  Outside the US, appropriate country-specific licenses required.
  • 5 or more years financial services industry or accounting experience, with operations experience preferred. 3 or more years management experience in the financial services industry, or audit experience.
  • Must have a basic understanding of major functions in US and/or CAN brokerage Operations, including books and records, trades, packaged products, and processing of cash, securities, and accounts.  Must also have in-depth knowledge of one or more of the major functions.
  • Must have proven collaboration, problem solving, decision making and critical thinking skills.
  • Must have the ability to proactively identify risks and design and implement effective controls to mitigate risks.
  • Must have demonstrated ability to collaborate and influence decision making on technology initiatives and/or projects.
  • Must be able to effectively communicate, lead a team and manage relationships with others based in multiple locations.

Job ID: 7960976007143435504

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