Complaints Investigator, Legal

Company: EDWARD JONES
Location: Saint Louis
Posted on: May 15, 2022

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. The person filling this role will be responsible for investigating and providing thorough, timely and professional responses to client complaints. In addition, the person will work to ensure the firm meets necessary regulatory requirements by coding matters for FINRA filings, including Forms U4 and U5, and will assist the firm with analyzing complaint data to identify trends and mitigate risk. Key Responsibilities: --- Conduct timely, thorough, and professional investigations of client concerns in a manner consistent with the firm's culture, values, policies and procedures --- Analyze correspondence received from various interested parties (clients, attorneys, regulatory agencies, and authorized individuals) to assess risk, and determine appropriate response to same --- Provide clear, concise, and professional responses to complainants and authorized individuals and submit language for regulatory filings --- Assist with ensuring the firm's compliance with regulatory reporting obligations resulting from the complaint process --- Negotiate settlements and propose and implement corrective action when appropriate to resolve complaints --- Collaborate with firm counsel to assist with regulatory inquiries, investigations, arbitrations and litigation --- Provide information to leaders and appropriate business areas, based on complaint volumes and trends, to assist the firm in preventing reoccurrences of issues or related complaints in the future The Complaints Investigator will be based in St. Louis and could have a hybrid (HQ Office/Home) work arrangement. --- Bachelor's degree required; bachelor's in business-related field (e.g. finance, accounting) or experience with data manipulation (e.g. statistics, data analytics, trend reporting) preferred --- Series 7, 9, 10, 24, 66 and Insurance licenses are required or must be obtained within 1 year of hire --- Securities industry experience or Doctor of Jurisprudence (JD) strongly preferred --- Excellent analytical and problem-solving skills --- Sound judgment and an ability to appropriately assess risk --- Exceptional verbal and written communication skills --- Strong organizational and prioritization skills in a deadline-driven environment 2021 FORTUNE 100 Best Companies to Work For-- By Great Place to Work-- and FORTUNE Magazine --- Edward Jones was named No. 20 on the list. From FORTUNE --2021 FORTUNE Media IP Limited. All rights reserved. Used under license. FORTUNE and FORTUNE 100 Best Companies to Work For are registered trademarks of Fortune Media IP Limited and are used under license. FORTUNE and Fortune Media IP Limited are not affiliated with, and do not endorse products or services of, Edward Jones Investments. 2021 Corporate Equality Index --- Edward Jones joins the ranks of 767 major U.S. businesses that received top marks in the Foundation---s 19th annual scorecard on LGBTQ workplace equality. From The Human Rights Campaign. All Rights Reserved 2021 Training Top 100 list - Edward Jones ranked No. 19, up six spots from last year in its 21st consecutive year on this prestigious list. J.D. Power, 2021 --- Edward Jones has ranked "highest in Employee Advisor Satisfaction among Financial Investment Firms" in the J.D. Power 2021 U.S. Financial Advisor Satisfaction Study. Edward Jones received the highest score among employee advisors in the J.D. Power 2007,2008, 2010, 2012-2015, 2017-2021 Financial Advisor Satisfaction Studies of employee advisors--- satisfaction among those who are employed by an investment services firm. Visit jdpower.com/awards for more information. 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. 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: Salary: $66379 - $109459 Category: Headquarters

Keywords: EDWARD JONES, St. Louis , Complaints Investigator, Legal, Legal , Saint Louis, Missouri