Q: Describe your role within the firm.
A: As a Team Leader for Compliance Service, my role is to lead a team of associates to ensure that the job gets done, to step into the role of a Compliance Officer when necessary, to perform oversight to ensure that stated goals and objectives are being accomplished and to assist in the personal growth and development of associates. Q: Describe how your division contributes to the firm's success.
A: The Compliance Division is responsible for the supervision of home office and branch personnel to ensure compliance with firm policies and industry regulations. Firm policies and industry regulations are set for the protection of our clients and their assets. Q: What year did you start at Edward Jones?
A: I started with the firm on December 20, 1993. Q: What year did you start in your current position?
A: I became a Team Leader for the Compliance Service team on April 1, 2004. Q: What did you do prior to joining Edward Jones?
A: Prior to joining Edward Jones, I worked for A. G. Edwards as an associate in their Stock Record's department. I was responsible for the reconciliation of their books, blotter reports and ensuring that the depository and firm's stock position were in balance. Q: Are there any memorable experiences you’d like to share that encapsulate or typify what it’s like to work for Edward Jones?
A: When I first started with the firm, I was a Central Service (now Branch Services) representative with the firm. As a CS representative I was able to build a rapport with quite a few branches. They felt confident in my responses and the service that I provided to their branch offices. To show their appreciation for my efforts, one time I received a dozen or more cactuses from a branch office in Arizona and another time I received a personal visit from a Financial Advisor in Washington when he had to come into Home Office one time. Even today, occasionally I am contacted by one of those branch offices, checking up on what I am doing. Q: Describe the culture at Edward Jones and how it’s different from your previous job. What is unique?
A: In my immediate circle of associates, I find that people are down to earth, we treat each other with respect and there is no stepping on toes. I think that the family stock that each of us comes from has instilled good ethical values which the firm seems to embrace. Having an inclusive firm environment I feel is important on all levels. I am happy to see the firm's recognition of this initiative and I hope to see continued improvements in this area going forward. Q: One area Edward Jones prides itself is enabling our associates to maintain a strong work-life balance. How does this approach impact you?
A: I have triplet girls and the firm was very supportive of me during my pregnancy and even after giving birth to them. I was permitted to go part-time, change my schedule, and work from home while on bed rest. Whatever accommodations I needed, my leader gave full consideration and worked with me to support my needs. Q: What does the firm being a partnership mean to you?
A: To me, partnership means working together and sharing equally the rewards and benefits. The opportunities for those contributing to the firm's success should be recognized to its fullest extent. Q: Articulate the spirit of volunteerism that exists at Jones. How have you been involved and what was that experience like?
A: One of the most memorable experiences in which I was fortunate enough to be chosen as a volunteer dates back to the summer of 1995. I was able to be a participant in the Jimmy Carter's Habitat for Humanity project in Watts, California. I received great joy from that experience to actually play a part in building affordable homes for those in need. It was amazing to see how fast the frame and structure of a block of homes were built in a week's time. Q: Do you feel there are opportunities for advancement and greater income potential at Edward Jones?
A: As the firm grows, I hope that these opportunities for advancement are more prevalent and consequently result in greater income. I see this in today's world on a principal level and hope that those opportunities continue to be available and open to all of us in the future. It's obvious that this is happening for principals of the firm when we all receive the communication about the new principal changes and changes in their responsibilities. Q: What qualities do you think a person needs to have to succeed in the home office environment?
A: I would like to think that objectivity, integrity, honesty; reliability and respect for others are some of the characteristics. Q: How do you see your future at Edward Jones unfolding?
A: I think we all at one time or another have wondered what it would be like to be a general partner or to achieve the highest level in any organization. Thinking realistically though, I will remain a team leader for awhile, continuing to develop myself and possibly move towards becoming a department leader. Q: There are very few offices at Edward Jones, with nearly all the firm's leaders located in cubicals. What does this structure mean to you?
A: To me, this type of structure means that the leaders should be in the trenches with their associates and working with them to achieve maximum results. Q: How has the firm supported your professional growth via training opportunities?
A: From the Learning Site, the learning tools and resources are abundant and so far in the Compliance Division, I have been allowed to take advantage of those resources for my own professional growth and development.
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