Job Details

Compliance Counsel

Company name

Edward Jones

Organization Type

In-House

Job Type

Attorney

Date Last Verified

Jul 20,2019

Valid Through

Nov 02,2019

Posted on

Feb 06,2019

Years of Experience

Min 3 yrs required

Location

Saint Louis, MO, United States

Employment Type

Full-time

Industry

Legal
Practice Area
Corporate >> Corporate - Securities and Capital Markets
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Compliance Counsel
The candidate will partner closely with internal business areas to provide timely advice and guidance to ensure new and existing products, services, branch team programs and the firm's conflict management processes are compliant with applicable laws, regulations, and internal policies and procedures. Create training, education and communication programs for integration across the firm. Remain informed of new and existing regulations and evaluate potential impacts to the firm. Investigate process gaps and negative findings discovered through oversight reviews and/or regulatory inquiries, identify corrective measures and monitor remediation of findings. Integrate regulatory and compliance requirements into all procedures, processes, products, services and systems. Draft, review and negotiate business documents and agreements with the firm's outside business partners. Draft and maintain disclosures related to the firm's business practices and potential conflicts of interest.

Qualification and Experience

The candidate must have Doctor of Jurisprudence (JD) Degree. State bar admission required. 3+ years of legal experience required. Series 7, 66, 9, 10 and 24 must be obtained within 12 months of hire. Securities industry experience preferred. Should have conflict management, problem solving and independent decision making skills. Must have strong academic background with superior writing, oral communication and problem-solving skills.

Additional info

Ref: 35888BR

Company info

Hiring Coordinator
Edward Jones
12555 Manchester Road
Saint Louis, MO 63131

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