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