Associate General Counsel II
4 weeks ago
Collaboration. Autonomy. Opportunity. Words our headquarters associates use when talking about working at Edward Jones. Words that describe what it's like being part of a firm where everyone is aligned toward a singular focus: serving the client. And everyone is working to make the firm better together - as they grow as individuals. If these words resonate with you, we should talk.
Job Overview
Position Schedule: Full-Time
Team Overview:
Our Legal Division is expanding to enhance solutions for millions of clients and their families. We are looking for an experienced attorney to partner with business leaders across the firm to provide strategic legal support and ensure the firm is meeting its legal and regulatory obligations while successfully executing the firm's most important initiatives.
What You'll Do:
This position includes working with business leaders to develop solutions that serve our clients' best interests and deliver an exceptional experience for our branch teams, clients, and the firm. The work is dynamic and requires the ability to look beyond the specific legal questions to understand the goals of the business and aid in getting to the best solution. This opportunity will afford the successful candidate the opportunity to be a part of a culture that inspires and supports the individual and allows them to be part of a team focused on delivering solutions.
Candidates should be highly motivated and knowledgeable about the industry and the firm. The position requires strong collaboration, an aptitude for continual learning, demonstration of intellectual curiosity by asking questions and connecting work across multiple initiatives, ability to identify and mitigate risks in new and evolving areas of law, and an ability to influence firm leaders.
Here are a few of the key responsibilities you will be a part of :
- Represent Edward Jones in responding to inquiries and examinations from various securities regulators, including FINRA, the SEC, and State securities agencies.
- Identify and assess potential risk to the firm, its affiliates, and its associates related to regulatory inquiries and examinations. Identify regulatory and legal issues early on and proactively address them, knowing when and how to involve key stakeholders across the firm.
- Assist the firm in managing regulatory risk including through policies and procedures.
- Deepen the firm's relationships and credibility with its various securities regulators at the Federal, state, and SRO levels.
- Assist in Branch Exams, Public Information Reviews, Registration, and regulatory requests related to complaints.
- Educate and advise Edward Jones, its business partners, and its associates on regulatory matters, securities rules and regulations, and industry trends.
- Identify, actively supervise, and guide outside counsel when needed for regulatory matters.
- Conduct internal reviews and investigations relating to securities rules and regulations.
- Demonstrate ability to handle matters independently, while exercising good judgment on when a matter needs to be escalated.
- Communicate effectively with other attorneys, professionals, associates and leaders, and successfully integrate into and across the firm by becoming a valued business partner.
At Edward Jones, we value and respect our associates and their contributions, and we recognize individual efforts through a rewards program that promotes a long-term career, financial security and well-being. Visit our career site to learn more about our total compensation approach, which in addition to base salary, typically includes benefits, bonuses and profit sharing. The salary range for this role is based on national data and actual pay is based on skills, experience, education, and other relevant factors for a potential new associate:
Hiring Minimum: $136571
Hiring Maximum: $232541
Skills/Requirements
What Experience You'll Need:
- Requires J.D. (or foreign equivalent) with license to practice in at least one U.S. state bar.
- Minimum of 8 years of progressive responsibility as an attorney working for government agencies, regulators, and/or SROs in connection with investigations and inquiries combined with either in-house or law firm experience with government and regulatory enforcement investigations, including :
- Significant knowledge of broker-dealer and securities regulations and the regulatory environment, and the ability to interpret regulations and regulatory guidance.
- Demonstrated leadership skills, ability to delegate and mentor, and desire to work collaboratively with others.
- Exceptional legal knowledge, judgment, work ethic, and integrity.
- Demonstrated ability to analyze and resolve complex matters.
- Excellent verbal and written communication skills, with demonstrated ability to influence decisions at senior executive level of organizations.
- Strong communicator and relationship builder.
What Could Set You Apart:
- Strong preference for prior regulatory experience working at FINRA, the SEC, or a State securities agency.
***Candidates that live within in a commutable distance from our Tempe, AZ and St. Louis, MO home office locations are expected to work in the office three days per week, with preference for Tuesday through Thursday. ***
Awards & Accolades
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
About Us
Join a financial services firm where your contributions are valued. Edward Jones is a Fortune 500¹ company where people come first. With over 8 million clients and 19,000 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 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.
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