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Compliance Division


Location - St. Louis, Mo., Tempe, Ariz., Mississauga, Ont.

What we do

The Compliance division leads the firm's commitment to compliance and provides structure around serving our clients' best interests. We strive to set the industry standard for compliance and supervisory best practices.

Departments include:

  • Compliance Operations, Audit, Investigations and Risk
  • Compliance Planning, Programs and Service
  • Field Supervision
  • HQ Compliance
  • Registration

Where we are headed

The Compliance division continuously evaluates, recommends and revises system, structure and process change necessary to prepare for the firm's 2020 Vision and ensure our client communications are transparent, accessible and easy to understand. The area also will play an integral role in ensuring compliance with new industry regulations and as the firm adopts new products and continues our evolution to solutions-based advice.

What we need

Branch Auditor, Field Supervision Director, Compliance Officer and Compliance Counsel are the most commonly needed positions.

Qualifications include:

  • Registrations either held or obtained within a given time frame: Series 7, 63 or 66, 24, 9 and 10; four-year college degree
  • Excellent written and verbal communication skills
  • Superior abilities in attention to detail and decision making
  • Strong analytical, problem-solving and conflict resolution abilities
  • Superb customer service skills
  • Financial services product knowledge and relevant industry experience

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