Job Details

Compliance Counsel Investment Advisory Compliance

Company name

Edward Jones

Organization Type

In-House

Job Type

Attorney

Date Last Verified

Jul 20,2019

Valid Through

Nov 02,2019

Posted on

Mar 08,2019

Years of Experience

Min 3 yrs required

Location

Saint Louis, MO, United States

Employment Type

Full-time

Industry

Legal
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Profile

Compliance Counsel - Investment Advisory Compliance
The candidate will provide wide-ranging advice, guidance, and compliance support to peers and leaders throughout Edward Jones to maintain and continually evolve the compliance program for the adviser's discretionary and client-directed retail advisory programs. In partnership with various stakeholders throughout the organization, timely resolve complex and ambiguous advisory matters using sound judgment. Support and influence the adviser's compliance, regulatory, and business initiatives. Interpret and apply laws, rules, regulations and best practices that affect the adviser. Pursuant to Rule 206(4)-7 of the Investment Advisers Act, conduct testing and assist in the preparation of materials associated with the adviser's annual compliance review. Aid in updating Form ADV Part 1, Part 2A and Part 2B, as necessary. Conduct due diligence and ongoing oversight of third-party service providers. Must have J.D. and license to practice law that is active and in good standing. Should have 3+ years of legal and/or compliance experience. Knowledge of the Investment Advisers Act of 1940, federal and state securities laws, and investment advisory programs preferred.

Additional info

Reference Id: 37853BR

Company info

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

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