Senior Compliance Officer

Do you enjoy helping others learn and solve problems? If so, there is an exciting career opportunity waiting for you in our Compliance Service Department! The Compliance Service Department's purpose is to serve as the primary resource for branch teams and home office areas to understand and apply compliance policies that enable and accelerate the branch team and client experience.

The department is primarily responsible for providing guidance on general Compliance policies and processes in response to inquiries from branch teams and home office associates, via phones, Service Requests and other tools or systems.

Responsibilities

of the role require interaction that will impact branch teams, and other home office areas while promoting a culture of compliance. Associates use conflict management, effective communication and problem-solving skills with financial advisors, branch staff, leaders, peers, and others in the firm. A Senior Compliance Officer has a relatively broad responsibility to deal with more complex situations which have implications for individual customers and/or business stakeholders.

Associates assist in the creation and implementation of training materials as well as department, division, and firm communications related to compliance matters. They assist in the coaching and development of other team members. Project work often involves process improvement or analysis of business/regulatory changes.

What You'll Do

Uses knowledge of the industry, regulatory and compliance environment and firm business functions and takes it into account when making decisions Build relationships and collaborate with compliance division stakeholders to identify and prepare for changes impacting clients and branch teams Influence and contribute to firm, division or department efforts which could include: Provide training, coaching and feedback to optimally create and maintain a strong learning environment and culture of compliance Utilize OE/process improvement to organize and facilitate small to mid-size projects and/or act as a subject matter expert Identify and analyze insights and communicate trends to influence solutions that impact the delivery of an ideal client experience **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.**