Senior Background Review Investigator - Compliance

This job posting is anticipated to remain open for 30 days, from 02-Oct-2026. The posting may close early due to the volume of applicants.

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 (https://careers.edwardjones.com/blog/edward-jones-releases-annual-purpose-inclusion-and-citizenship-report/?codes=DIRECT&utm\_source=DIRECT) .

¹Fortune 500, published June 2024, data as of December 2023. Compensation provided for using, not obtaining, the rating.

Do you have experience conducting investigations or reviewing background checks? Are you detail oriented, an efficient communicator, and experienced in assessing risks and making effective decisions? If so, you may be a fit for a role in Compliance-Background Review!

Senior Background Review Investigators support the firm's strategic ambitions related to growth by conducting background checks on applicants who have received an offer of employment. This role is responsible for conducting individualized assessments of candidates in partnership with other areas of the firm, vendors and the applicant while detecting and mitigating risk to the firm.

What You'll Do:

• Responsible for ensuring suitability for employment of all Financial Advisor, Branch Office Administrators, HQ, and CWF candidates in both the US and Canada by conducting an individualized assessment/investigation using all information obtained during the background review.

• This role requires knowledge of and the ability to apply EEOC; the Fair Credit Reporting Act; state, local, and international employment ordinances; federal and state criminal and civil codes; employment law; insurance; FINRA and CIRO regulations related to background reviews, regulatory filings, employment rights, privacy, adverse action, statutory disqualification, or other employment disqualifications.

• Works directly with candidates, vendors, other business areas of the firm, associates, and regulators to ensure initial, ongoing and post disclosure background reviews are completed within department policies and processes.

• Responsible for identifying and reviewing court documents, police reports, credit reports, tax documents, employment documents, candidate statements, and other documents required to conduct an individualized assessment.

• Based on the outcome of the review and analysis conducted, determine whether regulatory disclosures must be made. Responds to FINRA Department of Justice and Disclosure Letter inquiries accordingly. This includes researching relevant local and state laws and determining reportability.

• Makes hiring decisions to approve or deny candidates after completing individualized assessment. Also rescinds employment offers as needed.

• This role requires a high level of confidentiality, strong documentation, decision making, and investigation skills; as well as project involvement in department and/or division initiatives.

• Training and developing new background review investigators.

• Knowledge of internal, external and third-party systems.

What You'll Need:

• Bachelor's Degree or demonstrated knowledge and experience in human resources, business, criminal justice or paralegal studies preferred.

• 2+ years of industry and/or Compliance experience preferred.

• Ability to handle high volume of requests in a deadline driven environment while operating within policies and procedures.

• The ability to interpret and enforce firm policies and industry rules and regulations.

• Detail oriented, able to multi-task and strong decision-making skills.

• Excellent verbal and written communication skills.

What Could Set You Apart:

Series 7 & 66 licenses (or equivalent) optional but may be required for advancement opportunities.

Candidates that live within a commutable distance from our Tempe, AZ and St. Louis, MO home office locations are expected to work in the office four days per week.

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 (https://careers.edwardjones.com/blog/?\_sft\_category=awards-accolades)

Check out our Canadian awards and accolades: Insights & Information Blog Postings about Edward Jones (https://careers.edwardjones.com/en-CA/blogs/?\_sft\_category=awards-accolades-en-ca)

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.

Edward Jones' compensation and benefits package includes medical and prescription drug, dental, vision, voluntary benefits (such as accident, hospital indemnity, and critical illness), short- and long-term disability, basic life, and basic AD&D coverage. Short- and long-term disability, basic life, and basic AD&D coverage are provided at no cost to associates. Edward Jones offers a 401k retirement plan, and tax-advantaged accounts: health savings account, and flexible spending account. Edward Jones observes ten paid holidays and provides 15 days of vacation for new associates beginning on January 1 of each year, as well as sick time, personal days, and a paid day for volunteerism. Associates may be eligible for bonuses and profit sharing. All associates are eligible for the firm's Employee Assistance Program. For more information on the Benefits available to Edward Jones associates, please visit our benefits page (https://secure.edwardjonesbenefits.com/fleet/public/index/f914262d-0362-4682-bd1e-0ccd25f1dfb1) .