Role Overview
EDWARD JONES is hiring a mid-level Compliance Officer in Trade Surveillance. This is a full-time role in CA. Part of EDWARD JONES's Trading hiring, posted 2 days ago. Full responsibilities, required qualifications, and the apply link are listed in the description below.
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Job Description
Take on a pivotal role in compliance at Edward Jones as a Compliance Officer focused on Trade Surveillance. You will play a vital role in managing and mitigating regulatory risks for trading activities in equities and fixed income markets.
In this position, you will ensure robust adherence to UMIR regulations, react to inquiries from CIRO, and facilitate trader training. Your responsibilities also include optimizing compliance monitoring frameworks and collaborating with various internal teams.
Key Responsibilities:
- Conduct trade surveillance and monitor infractions
- Manage CIRO trade reporting and regulatory requests
- Coordinate with US trading desk for compliance oversight
- Collaborate for timely issue resolution with other departments
- Lead compliance enhancement and develop in-depth reports
Requirements
- Necessary qualifications include CSC and CPH
- Previous surveillance experience required
- Expertise in regulatory roles with oversight responsibilities
- Strong understanding of trading regulations and compliance
- Experience in a highly regulated financial environment
Utilize your compliance expertise at Edward Jones to enhance trade surveillance and regulatory adherence.
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Frequently Asked Questions
How do I apply for the Compliance Officer in Trade Surveillance position at EDWARD JONES?
Use the Apply button above to submit your application directly to EDWARD JONES. Most applications take less than 5 minutes if your resume and contact details are ready, and you'll be routed to the employer's official application system to finish.
Where is the Compliance Officer in Trade Surveillance position at EDWARD JONES located?
This position is based in CA. EDWARD JONES has not indicated remote or hybrid options for this role, so candidates should plan for on-site work.
What does a Compliance Officer in Trade Surveillance at EDWARD JONES earn?
EDWARD JONES has not disclosed a salary range in this posting. Many employers share specifics later in the interview process; you can also ask during a recruiter screen if compensation transparency is important to you.
When was the Compliance Officer in Trade Surveillance role at EDWARD JONES posted?
This role was posted on June 6, 2026 (2 days ago). It's still listed as actively hiring; we re-confirm openings against the source system multiple times per day and remove closed roles.
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