Complaints Investigator

This job posting is anticipated to remain open for 30 days, from 01-Jul-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.

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

Do you enjoy solving complex problems and getting to the root cause of client concerns? Are you skilled at balancing client experience, regulatory requirements, and risk management? Do you thrive in a role where your analysis and insights can help prevent future issues and improve business outcomes? If so, this may be the opportunity for you.

Our team plays an important role in protecting the firm's reputation, supporting client satisfaction, and ensuring compliance with regulatory obligations. By investigating client complaints, identifying trends, and partnering with business areas across the firm, we help drive continuous improvement while maintaining a strong culture of accountability and client care.

In this role, you will be responsible for conducting thorough investigations of client concerns, preparing professional responses, supporting regulatory reporting requirements, and identifying opportunities to mitigate risk. You will collaborate with leaders, business partners, legal counsel, and regulatory stakeholders to help resolve issues and strengthen processes across the organization.

This is an excellent opportunity for a professional who enjoys investigative work, critical thinking, and using data-driven insights to influence positive outcomes.

What You'll Do

• Conduct timely, thorough, and objective investigations of client complaints and concerns in a manner consistent with the firm's values, policies, and commitment to client service.
• Analyze correspondence and inquiries received from clients, attorneys, regulatory agencies, and other authorized parties to assess risk and determine appropriate actions.
• Prepare clear, concise, and professional written responses to complainants and authorized individuals.
• Draft and submit language for required regulatory filings and disclosures.
• Support the firm's compliance with regulatory reporting obligations, including coding matters for FINRA filings such as Forms U4 and U5.
• Negotiate settlements and recommend corrective actions when appropriate to achieve fair and effective resolutions.
• Partner with firm counsel on regulatory inquiries, examinations, investigations, arbitrations, and litigation matters.
• Analyze complaint data and trends to identify emerging risks and opportunities for process improvement.
• Provide insights and reporting to leaders and business partners to help prevent recurring issues and enhance the client experience.
• Collaborate across departments to implement solutions that reduce risk and improve operational effectiveness.

Where You'll Make an Immediate Impact

From day one, you'll play a key role in:

• Enhancing the firm's complaint investigation and resolution process.
• Ensuring timely and accurate regulatory reporting and documentation.
• Identifying complaint trends and root causes that can drive meaningful business improvements.
• Supporting regulatory inquiries and responses while helping mitigate firm risk.
• Providing actionable insights that help leaders address emerging risks and improve client outcomes.
• Strengthening partnerships across Legal, Compliance, Risk Management, and business teams.

What You'll Need

• College degree required.
• Excellent analytical and problem-solving skills.
• Sound judgment and the ability to appropriately assess risk.
• Exceptional verbal and written communication skills.
• Strong organizational, time-management, and prioritization skills in a deadline-driven environment.

What Sets You Apart

• Degree in a business-related field (e.g., finance, accounting) or experience with data manipulation, statistics, data analytics, or trend reporting.
• Securities industry experience.
• Doctor of Jurisprudence (JD).
• Experience analyzing complex client concerns and developing practical solutions.
• Ability to communicate effectively with a wide range of stakeholders, including clients, attorneys, regulators, and business leaders.
• Strong investigative skills with the ability to identify patterns, trends, and root causes.
• Experience balancing client service, regulatory requirements, and risk management considerations.
• A collaborative mindset and ability to work effectively across multiple functions and business areas.
• Proven ability to manage competing priorities while maintaining attention to detail and quality.

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

Check out our Canadian awards and accolades: Insights & Information Blog Postings about Edward Jones

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.