✦ Luna Orbit — Finance & Accounting

Field Supervision Director - Investment Advisory

at Jones Financial (Edward Jones)

📍 Tempe, AZ Hybrid Posted March 26, 2026
Apply Now → ← Browse All Jobs

Position Details

Type Full-Time
Experience mid
Exp. Years 1+ years
Education Bachelor's degree in business-related field
Category Finance & Accounting

About this role

This role involves supervising fee-based advisory transactions, ensuring compliance with industry regulations, and partnering with branch teams to mitigate risks. It requires active FINRA licenses and regulatory expertise.

Key Responsibilities

  • Guide branch teams in fee-based business
  • Identify transaction trends
  • Communicate regulatory implications
  • Ensure compliance with policies
  • Represent the firm to clients

Technical Overview

The position requires knowledge of FINRA licensing, compliance procedures, and regulatory frameworks related to investment advisory services.

Ideal Candidate

The ideal candidate is a mid-level financial compliance professional with active FINRA licenses (Series 7, 66, 9, 10, 24) and experience in investment advisory supervision. Strong communication skills and regulatory knowledge are essential.

Must-Have Skills

Series 7 licenseSeries 9 licenseSeries 10 licenseSeries 24 licenseSeries 66 licenseFINRACompliance

Nice-to-Have Skills

Insurance licenseIndustry experienceBusiness degree

Required Skills

Series 7 licenseSeries 9 licenseSeries 10 licenseSeries 24 licenseSeries 66 licenseFINRAComplianceInvestment AdvisoryFee-based businessRegulatory compliance

Hard Skills

Series 7 licenseSeries 9 licenseSeries 10 licenseSeries 24 licenseSeries 66 licenseFINRAComplianceFee-based businessRegulatory complianceInvestment Advisory

Soft Skills

CommunicationPartneringProblem-solvingRegulatory understandingTeam collaboration

Certifications

Required

Series 7 licenseSeries 9 licenseSeries 10 licenseSeries 24 licenseSeries 66 license

Preferred

Insurance license

Industry & Role

Industry Financial Services
Job Function Financial compliance supervision and regulatory enforcement
Role Subtype Financial Compliance Supervisor

Clearance & Visa

Clearance Required None
Visa Sponsorship No

Keywords for Your Resume

Series 7 licenseSeries 9 licenseSeries 10 licenseSeries 24 licenseSeries 66 licenseFINRAComplianceInvestment AdvisoryFee-based businessRegulatory complianceFinancial AdvisorFinancial servicesClient relationshipsRegulationsFee transactionsSuitabilityInvestment advisoryRegulatory rulesClient communicationBranch supervisionFinancial transactions

Deal Breakers

Lack of active FINRA licenses, No experience in investment advisory supervision, Inability to communicate regulatory implications

Apply for this Position →

Get matched to jobs like this

Luna finds roles that fit your skills and career goals — no endless scrolling required.

Create a Free Profile