Investment Advisory Compliance Counsel

Min 3 yrs required

Full-time

No

Edward Jones is seeking a highly skilled and motivated Investment Advisory Compliance Counsel to join our team. This role will provide wide-ranging compliance advice and guidance to various internal business areas in support of our retail investment advisory business. The successful candidate will have at least 3 years of legal and/or compliance experience, preferably in the securities industry, and possess a . and active license to practice law. This is a hybrid position, with the option to work from our headquarters in St. Louis, MO or Tempe, AZ.

As part of our team, you will have the opportunity to partner with the organization to support the continued growth of our retail investment advisory business and our commitment to helping serious, long-term investors achieve their financial goals. Your primary responsibilities will include maintaining and evolving the compliance program for our suite of advisory programs, as well as being involved in the development of new offerings to better serve our clients.

The Investment Advisory Compliance Counsel role offers a dynamic and challenging work environment, requiring strong collaboration, prioritization, flexibility, and innovative thinking. If you possess these qualities and have a desire to continually learn and evolve with the firm’s advisory business, we encourage you to apply.

Key Responsibilities:

- Provide compliance advice and guidance to support the firm’s advisory business
- Engage in enterprise-level initiatives involving our retail advisory offerings
- Investigate and resolve compliance issues, responding to questions from internal stakeholders
- Interpret laws and regulations affecting the operation of the organization
- Conduct assessments of internal policies, procedures, and controls
- Oversee the operation of various departments to ensure compliance with regulatory requirements
- Assist in conducting the annual compliance review and preparing regulatory disclosures
- Conduct due diligence and ongoing oversight of third-party service providers
- Be accountable for the performance and results of functions within the Investment Advisory Compliance department

Qualifications:

- . and active license to practice law
- At least 3 years of legal and/or compliance experience, preferably in the securities industry
- Knowledge of the Investment Advisers Act of 1940 and federal and state securities laws preferred
- Ability to analyze and solve complex, ambiguous matters
- Strong network and partnership-building skills
- Previous involvement in significant projects and initiatives preferred
- Highly organized, collaborative, adaptable, and committed to continual learning
- Excellent writing, verbal, and interpersonal skills
- Exceptional judgment, work ethic, thought leadership, and integrity
- Active Series 7, 66, and 24 licenses preferred (candidates will be asked to obtain if not already held)

Salary Information:

- Hiring Minimum: $113,810
- Hiring Maximum: $193,785

Benefits:

At Edward Jones, we value and respect our associates and their contributions. We offer a comprehensive total compensation approach, which includes not only base salary but also benefits, bonuses, and profit sharing. Our salary range is based on national data, and actual pay will be determined based on skills, experience, education, and other relevant factors for the position.

Working Conditions:

- This is a hybrid position, with the option to work from our headquarters in St. Louis, MO or Tempe, AZ.
- Candidates living within a commutable distance from these locations are expected to work in the office three days per week (Tuesday through Thursday preferred).

Why Edward Jones?

Edward Jones is a Fortune 500¹ company that puts people first. With over 8 million clients and 19,000 financial advisors across the . and Canada, we are proud to be privately-owned, placing the focus on our clients rather than shareholder returns. Our purpose is to partner for positive impact, improving the lives of our clients, colleagues, and communities, and together, bettering society. We are an innovative, flexible, and inclusive organization that values and supports our associates, making us the best place to start or build a career in financial services.

Join our team and be part of an organization that values diversity, inclusion, and citizenship. We believe that when our associates are seen, heard, respected, and supported, they can achieve performance excellence and make a positive impact in the world.

¹Fortune 500, published June 2023, data as of December 2022. Compensation provided for using, not obtaining, the rating. 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.

Not specified

Rewards program (base salary, benefits, bonuses, profit sharing), potential for long-term career, financial security and well-being

Not specified

Strong collaboration, prioritization, flexibility, growth mindset, continual learning, compliance advice, regulatory guidance, enterprise-level initiatives, innovative solutions, compliance issues, laws and regulations interpretation, internal policies and procedures, assessment coordination, regulatory disclosures, due diligence, oversight, performance accountability, legal and compliance experience, knowledge of Investment Advisers Act, federal and state securities laws, investment advisory business, analytical and problem-solving skills, network and partnership building, project management, organizational skills, adaptability to change, written and verbal communication, judgment, work ethic, thought leadership, integrity, Series 7, 66, and 24 licenses (preferred)

Not specified

Apply through company website

Qualification and Experience J.D. and active, in good standing law license, at least 3 years of legal and/or compliance experience, knowledge of securities industry (preferred)

Legal