There’s power in partnership.
Your passion. Our purpose. We can make an impact together. Join a team that empowers you to shape the future of client service. Everything we do is focused on helping clients achieve what’s most important to them, all while giving you the opportunity to innovate, collaborate and grow.
What you do every day helps people achieve and protect their financial goals. You’ll have access to cutting-edge tools, continuous learning programs, mentorship from experienced leaders, and a culture that values every voice and idea.
Position Schedule: Full-Time
he Director, Compliance is responsible for overseeing compliance functions and initiatives to ensure the organization adheres to regulatory requirements, internal policies, and ethical standards. This role encompasses strategic leadership, risk management, and collaboration with senior leadership to maintain a culture of compliance across the organization. This Leadership role is a registered supervisor with the Canadian Investment Regulatory Organization (CIRO) with overall responsibility for the Supervision (Tiers 1 & 2) and Compliance programs supporting those activities, focusing on the client’s best interest and ensuring compliance with industry rules and regulations.The Director, Compliance is a key decision maker pertaining to Compliance and Supervision policy, strategy, structure, and talent. They are responsible for aligning respective teams’ activities and responsibilities with the division’s and firm’s strategic direction. The role plays a pivotal part in establishing a culture of compliance, mitigating risks, and ensuring alignment with both internal policies and external regulatory expectations. Additionally, they provide oversight, advice, and guidance to ensure execution of Compliance- and Supervision- related activities in alignment with firm and regulatory standards to ensure resources are being used wisely. Working directly with the Chief Compliance Officer, the Director, Compliance provides leadership to collaborate and develop innovative ideas to improve Compliance and Supervision systems and processes as well as overall effectiveness and efficiency.
Primary responsibilities of the Director, Compliance include:
- Defining the strategic plan for all areas of responsibility, providing leadership and direction with regards to:
- The development of new Compliance and Supervision programs and the revision of existing programs to meet business and regulatory requirements necessary to support the firm’s business model, growth plans, and the evolving industry.
- The planning and development of changes related to processes within the division.
- Representing the division and participating in planning, design and implementation of firm-wide projects so regulatory, firm policies and standards are followed. Helping to ensure that new product and service implementations have associated key controls in place in order to supervise them and maintain compliance with regulations.
- Having overall responsibility for the strategic oversight and execution of the Compliance and/or Supervision program as assigned, which may include one or more of the following areas:
- Registrations and Licensing
- Branch Audit
- Trade Desk Compliance
- Marketing Compliance
- Conflicts of Interest
- Marketing Compliance
- Field Supervision and Surveillance
- General Compliance support
- Being responsible for the leadership and development of leaders, associates and teams
- Acting as a key participant on firm, division, and industry committees.
At Edward Jones, we value and respect our associates and their contributions, and we recognize individual efforts through a rewards program that promotes a long-term career, financial security and well-being. 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. 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.Qualifications Required in the Job:- Undergraduate university degree required.
- Canadian Securities Course and Conduct and Practices Handbook Exam are mandatory and must be current at time of hire.
- Partners, Directors, and Senior Officers exam must be completed within three months of hire.
- 10 or more years of relevant Compliance and/or regulatory experience with a minimum of five years leadership experience required.
- Industry experience including demonstrated knowledge of regulatory obligations and expectations.
Key Behaviors and Competencies:
- Ability to interpret and apply Canadian securities laws and CIRO regulations to the firm’s operations; Capacity to ensure that the firm remains compliant with all relevant regulatory requirements and guidelines.
- Ability to identify, assess, and mitigate compliance risks;Skilled in developing and implementing risk management strategies.
- Proven ability to lead and manage a compliance team; Capacity to mentor and develop team members, fostering a culture of compliance within the organization.
- Ability to analyze complex regulatory information and business processes to identify compliance issues and recommend solutions. Capacity to conduct thorough investigations and audits.
- Demonstrated commitment to continuous learning and development (of self and others).
- Demonstrated ability to drive execution end-to-end, from development to implementation.
- Leads others with empathy and human-centeredness, while welcoming diversity of thought and experience and fostering a collaborative, supportive and inclusive environment.
- Ability, willingness, and confidence to make effective decisions independently.
- Strong organizational and project management skills including the ability to handle multiple priorities and projects at one time.
- Ability to anticipate and adapt to changing regulatory and business environments.
- Ability to quickly develop expertise in high risk areas involving multiple functions and departments
- Ability to speak and write in clear concise terms regarding complex issues and technical documentation, including challenging conversations at all levels within the firm and with external regulators or vendors.
- Very strong analytical and critical thinking skills are essential. The ability to thoroughly analyze a situation, determine the facts, recognize possibilities and create unique and innovative solutions is also required.
- Navigate firm initiatives through an increasingly complex and growing organization.
**Candidates that live within a commutable distance from our Mississauga home office location are expected to work in the office four days per week effective June 1, 2026. Before June 1, 2026, candidates that live within a commutable distance from our Mississauga home office location are expected to work in the office three days per week, with preference for Tuesday through Thursday.**
At Edward Jones, we are building a place where everyone feels like they belong. We’re proud of our associates’ contributions to the firm and the recognitions we have received.Check out our U.S. awards and accolades: Insights & Information Blog Postings about Edward Jones
Check out our Canadian awards and accolades: Insights & Information Blog Postings about Edward Jones
Join a financial services firm where your contributions are valued. Edward Jones is a Fortune 500¹ company where people come first. With over 9 million clients and 20,000 financial advisors across the U.S. and Canada, we’re proud to be privately-owned, placing the focus on our clients rather than shareholder returns.Behind everything we do is our purpose: We partner for positive impact to improve the lives of our clients and colleagues, and together, better our communities and society. We are an innovative, flexible, and inclusive organization that attracts, develops, and inspires performance excellence and a sense of belonging.
People are at the center of our partnership. Edward Jones associates are seen, heard, respected, and supported. This is what we believe makes us the best place to start or build your career.
View our Purpose, Inclusion and Citizenship Report.
¹Fortune 500, published June 2024, data as of December 2023. Compensation provided for using, not obtaining, the rating.
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.
- Defining the strategic plan for all areas of responsibility, providing leadership and direction with regards to:
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Our branch teams – including our BOAs – play a critical role in getting to know and truly understand each client.
Penny Pennington
Managing Partner
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Career Progression
Career Progression
Career Progression
Career Progression
Career Progression

It’s like professional development in the world’s largest sandbox.
Training, continuing education and mentoring – that’s only the beginning. Our headquarter campuses offer thousands of roles – and as many opportunities – for you to try new skills, get involved on different projects and step up as a leader. You’re in charge of your professional development. We just provide the opportunities.

Extra compensation when you need it most – with no ceiling on how much you can earn.
And we really mean it. There is no ceiling on how much you can earn as we have a work hard and be rewarded philosophy. We also understand that new financial advisors might be more worried about the floor. So we provide a guaranteed salary for your first four years. Did we mention bonuses, commissions, profit sharing and travel awards?
“As hard as I want to work determines how successful my business can be.”
– Mark Audet, CFP Financial Advisor – St. Louis

Your new career comes with support from day one.
At Edward Jones, we support you with resources and training from day one. You’ll be joining a firm that is consistently recognized and awarded for our training. We believe you’ll see our investment in you as one of the best parts of working at Edward Jones. When you join the client team in your local branch, you won’t be on your own.

Come as you are. We will teach you everything you need to know.
Our Branch Office Administrators come from many different career backgrounds. Sales. Marketing. Customer service. Even finance. But they have one thing in common: a desire for a rewarding career that empowers them to make a difference in people’s lives. Your training begins with six months of dedicated onboarding – and is built out with mentoring, learning plans tailored to your needs, and 6,000-plus at the Headquarters making sure you have everything you need to succeed.

Put your talent to the test – Working with the industry’s best.
There’s no better way to flex your skillset than working with the best. And you will find the best here. We aggressively recruit a vast array of top talent that help us innovate. And build the tools and systems that support our goal of being the #1 choice for the serious long-term investor. Our clients’ needs are becoming more complex. They have high expectations for a personalized user experience that puts them in control – so they can feel confident managing their financial lives. You won’t be competing with your colleagues to develop the next breakthrough technology. We are a team. Some say a family. And our collaborative culture permeates every aspect of our firm. Including tech innovation. Everyone is working toward the same goal: to create technology to make it easier for our clients to do business with us. And when any of us succeed, it’s a win for all of us.

Your colleagues will inspire you. And hold you accountable.
Our vast resources, solid reputation and commitment to making a meaningful difference in people’s lives attract next-level talent that creates an inspiring work environment. You won’t just be working alongside some of the industry’s best – you will be collaborating with them. Our relationships with our clients and each other are, in a word, authentic. And we hold ourselves accountable to both. Building products, services and technologies that strip out the complexity for our branch teams – and elevate our client-centric experience.

You can see the future. Because you’re building it.
Our client-first focus comes with a promise: to think like them, not just about them. So much so that we can anticipate their needs before even they do. How? By staying ahead of changing regulations and mitigating risk for over 7 million clients. Developing new tools and technologies. Creating data driven innovative business solutions. And building automation, agility and nimbleness into our workflows. So we can pivot on a dime. Prepared to solve future challenges before they ever arise.
Career Progression
Career Progression

Start here. Grow your career.
Service and Operations are known as places that grow and develop top talent at the firm. When you join our large divisions, you’ll have many opportunities to learn outside of your role. We have specialized focus areas, all waiting for you to expand your knowledge and contribution. Develop your skills. Work in many settings. And move down the path that interests you most. As your skills grow, your leader may recommend you for opportunities in other areas. Selflessly losing top talent – all in the name of your development. And the success of the firm.


Find your niche. We insist.
Investment Products & Strategy is home to many areas of expertise. This works to your advantage. And supports your professional development. Working in research but curious about trusts? Check it out. Hired in banking but a trader at heart? Give it a try. Passionate about finding innovative ways to help clients protect their goals? Your leaders will encourage you to explore. Mentor you. And connect you with other leaders and colleagues who can show you the way. And you and your leader will have meaningful, performance and development discussions throughout the year. Not only at your annual review. So as your interests evolve, your leader can help you find the next opportunity. So you can find your niche.

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The strength in the solutions we create for our branches and clients comes from seamless integration of our tools; this integration requires close collaboration and communication. As I continue to serve Edward Jones in key initiatives, I know that my network of advocates will continue to grow.
Chris Koo
Firm Strategic Enablement Office
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Grow your skills – And find your passion.
Your professional development is our priority. World-class training, mentoring and continuing education – that’s a given. But you can expect so much more. Digital transformation throughout the firm creates a steady stream of opportunities for you to stretch your skills. In different tech areas – and different business areas. We promote collaboration and movement between divisions and departments. And encourage you to understand the business drivers by plugging you into design sprints, research projects and situations where you can see our workflows firsthand. Helping you find your passion, with so many paths to get there.


Bring your skills and experience here. We’ll find a place to put them to work.
Tech? HR? Marketing? Operations? You’ve got the skills. We’ve got the team. We are a large firm with many areas of expertise but each division is small enough for you to make an impact. And you can test the waters in other areas. We encourage it. Learning new skills and gaining leadership experience along the way.
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When it comes to your compensation, we want to be clear.
#1 Your performance drives your compensation – and we won’t limit it with earning caps. Not now, not ever.
#2 Our compensation is competitive and multi-faceted. Commissions and trimester bonuses – based on individual branch and firm profitability – make up the bulk of your variable income. But your total payout may include travel awards and profit sharing. And the opportunity to be rewarded for transitioning client relationships to financial advisors looking to grow.
#3 Our compensation is simple and transparent. We make it easy to understand how you are rewarded and strive to minimize grid changes. You know exactly what to expect and how to impact your results.

Our partnership structure frees you to focus on your clients.
Being a partnership makes us distinctly different from our competitors. More than a structure, it’s a mindset. And it permeates every aspect of our business. From how we work with each other – think collaboration not competition – to our long-term investment philosophy. It’s most at work in our shared focus on doing what’s right for the client. And it’s easy for us to do. Because we have no competing interests. No shareholders clamoring for short-term profits. We can take the long view, because we only answer to our clients. And to ourselves. Our financial advisors find this single-minded focus freeing. A clear mandate for success. And a clear path to get there.


Transitioning your practice is a difficult decision. We’re here to help.
Moving your practice to another firm may be the most stressful decision of your professional life. We understand. And our transition team is here to help. From early days when you are just beginning to consider the opportunity. To that glorious first day of opening your practice. And our support is not one-size-fits-all. We will tailor your transition to you and your practice – with you leading the way. Ensuring a smooth transition for you and your clients. And a solid path forward for next-level growth.

Investing in You
As a valued branch-team member, you will share in the success of your branch – and the firm. Our market competitive compensation program recognizes your individual contributions, promotes a long-term career, contributes to your financial security and promotes the well-being of you and your family.

Investing in You
As a valued branch team member, you will share in the success of your branch – and the firm. Our market competitive compensation program recognizes your individual contributions, promotes a long-term career, contributes to your financial security and supports the well-being of you and your family.






















