I’m interviewing for a compliance role with Edward Jones. I’ve been in wealth Management for 10 years and I’ve never interviewed for this type of job before. What should I expect from the questioning? I’ve never been in compliance before, would they really take me or am I filling a quota?

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You will be questioned about what type of supervision you have done in the past and be his set. If you have a Series 24, while it’s a requirement, they will want to ensure you have a handle on the day to day supervision to ensure that you are qualified to supervise. The firm might not be ready to assume the risk if you fail to supervise employees, something that FINRA can definitely pick up when they do their onsite visitations and could potentially end up on Your U4/U5.

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Personally, I think the most valuable compliance folks are those that have done the job or been very close to it at some point in their career. That being said, and having never been at Edward Jones, I don’t know what they or you are looking to achieve in this role. Being able to articulate what this role or firm could do for you and what you have to offer it will be key. In my experience, the strongest compliance officers are able to engage with business folks, provide advice, challenge as part of decision making process, and enable businesses to soundly carry out their business. Their communication skills are sharp, they’re pragmatic, and they know how to maintain their independence and yet still be a partner to their business.

Out of curiosity, was this a role to which you applied or were you recruited?

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