Q: Describe your role within the firm.
A: My primary role is to investigate and resolve client complaints and internal disciplinary matters. However, I also approve marketing material and develop and implement strategies to minimize risk from associates and client misconduct. Q: Describe how your division contributes to the firm's success.
A: My division serves the client's best interests by developing and implementing compliance systems and policies consistent with regulatory requirements and the firm's overall objectives. Q: What year did you start at Edward Jones? What year did you start in your current position?
A: I started with Edward Jones in 1997 as a Financial Advisor. I began my current position with the firm in 2003. Q: What did you do prior to joining Edward Jones?
A: I was a Manager of Long Range Planning for the City of Guelph. Q: Are there any memorable experiences, perhaps helping a Financial Advisor or BOA, you’d like to share that encapsulate or typifies what it’s like to work for Edward Jones?
A: Prior to my current role, I worked with new Financial Advisors on the Sales Desk. Part of my role was to help Financial Advisors put together proposals or strategies to help them sign up clients. I had several occasions where a Financial Advisor would call me up after-the-fact to inform me that my assistance helped them sign up a new client. Q: Describe the culture at Edward Jones and how it’s different from your previous job. What is unique?
A: I find that the concept of “responsibility-based management” is a big part of the firm's management philosophy. This makes the firm unique. I think a lot of firms say that they employ “responsibility-based management” but they really only pay “lip service” to it. However, at Edward Jones, responsibility based management is very much who we are. I also find that the numerous departments that make up Edward Jones function as a team working toward common goals. This is distinctly different compared to where I worked previously because of the "silos" that existed in that organization. Q: One area Edward Jones prides itself is enabling associates to maintain a strong work-life balance. How does this approach impact you?
A: Because my family is very important to me, I would only want to work at a firm that promotes a work-life balance for its employees. Edward Jones has numerous policies that foster this work-life balance and this is a major reason why I have chosen to stay and build a career at this firm. Q: What does the firm being a partnership mean to you?
A: The fact that the firm is a partnership is another major reason I want to remain at Edward Jones. Being a partner means that I own a part of this great company and have a vested interest in the success of the firm. Being a limited partner makes me feel like I am much more than an employee. Q: Before you came to Edward Jones, what did the name mean to you? And after you came on board?
A: The name meant little to me as I joined the firm shortly after it came to Canada. The company was not well known. Now, the name Edward Jones means: commitment to clients, quality, service, and conservative investments. Q: Articulate the spirit of volunteerism that exists at Jones. How have you been involved and what was that experience like?
A: Prior to my current role I had to recruit successful Financial Advisors to come in as Visiting Veterans for new advisor training classes. I was constantly struck by the willingness of these Financial Advisors to volunteer to take time out of their business to come in and help new trainees. I never had difficulty finding veteran advisors who wanted to be visiting veterans. Q: Do you think Edward Jones has taken good care of you in terms of overall compensation package, including medical benefits, vacation time, retirement planning and salary?
A: As I'm in my 10th year, I now have four weeks vacation. The medical benefits are pretty standard within the industry. However, I think the salary, bonus, partnership income and retirement plan contributions help make the firm very competitive with other firms in the financial industry. Q: How do you see your future at Edward Jones unfolding?
A: Gradually moving into a more senior role in Compliance or in another area where my skills and abilities are suited. Q: As you go through your daily activities, how do you know you’ve achieved success at Edward Jones?
A: From a quantitative standpoint, I feel successful when I complete the duties and tasks of my role on time and in an excellent manner. From a qualitative standpoint, when I feel happy about my work environment and look forward to coming to work each day. Q: Describe the training you received when you started.
A: Edward Jones coached me through the securities courses I needed to become a Financial Advisor. I then received thorough training on how to build relationships with clients and running a successful business. Q: What has the firm's growth meant for leadership opportunities?
A: Since I came into the head office in 1999, I have been fortunate enough to move into more senior positions in totally unrelated departments.
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