Compliance Officer - Trade Surveillance

The Compliance Officer (Trade Surveillance) plays a critical role in mitigating the firm's regulatory and financial risks related to retail and firm trading activities (equities and fixed income). This includes monitoring for infractions under UMIR, responding to inquiries from CIRO during audits, delivering trader training, and participating in educational online and in‑person training for branch and home office associates. The role ensures the trade surveillance program remains robust and responsive.

Key Responsibilities

• Trade Surveillance and monitoring
• Handling of all CIRO required trade reporting, short and wash trade reporting, and regulatory information requests
• Working with the US trading desk partners to ensure trade functions, supervision, and oversight are occurring as expected, and collaborating with internal IT design teams to implement and monitor customized supervision oversight plans tailored to specific circumstances
• Collaborating with internal audit, legal, and other departments to ensure timely resolution of identified issues
• Leading the enhancement of compliance monitoring and testing frameworks, integrating analytics to improve effectiveness
• Developing and presenting comprehensive reports summarizing Tier 2 trade surveillance supervision activities, trends, and outcomes

Position Requirements

• CSC and CPH (CIRO new proficiency requirements once in effect)
• Trader Training Course
• Previous experience in a trading surveillance role with a deep understanding of the capital markets, best execution, and UMIR
• Proven experience in senior compliance or regulatory roles, preferably with oversight responsibilities
• Expertise in Tier 2 supervision, trade surveillance, branch audits, conflicts of interest management, marketing compliance, and data‑driven risk assessment
• Strong knowledge of regulatory frameworks and industry standards
• Experience must be in a financial services or other highly regulated industry

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.

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.

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.

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