Compliance Counsel

1 week ago

Saint Louis MO United States Edward Jones Full time
Want a meaningful career where you can make a difference? Edward Jones sounds perfect for you.

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

Edward Jones is seeking Compliance Counsel for our Capital Markets and Operations Compliance area. In this role, you will partner with numerous internal business areas throughout the firm to support the continued growth of Edward Jones' retail investment business and our commitment to helping serious, long-term investors achieve their financial goals. Your primary responsibilities will focus on maintaining and continually evolving the compliance program for the firm's Fixed Income Trading and Operations areas.

Primary Responsibilities:
  • Provide wide-ranging compliance advice and guidance to the firm's Fixed Income Trading and Operations areas to maintain and continually evolve the compliance program
  • Interpret laws, rules and regulations affecting the operation of the organization and develop specialized depth and breadth of expertise involving trading and operational issues
  • Investigate and resolve compliance issues and respond to questions from internal stakeholders throughout the organization
  • Influence and guide compliance, regulatory, and business initiatives by recommending innovative solutions and best practices that benefit clients, branch teams and the firm
  • Coordinate and conduct assessments of internal policies, procedures and controls
  • Oversight the operation of various departments to ensure compliance with relevant regulatory requirements, including laws, rules and regulations, as well as the design, implementation and operation of the overall compliance program
  • Provide significant support to projects and initiatives

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.

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: $113810
Hiring Maximum: $193785

Skills/Requirements

Position Requirements:
  • J.D. and license to practice law that is active and in good standing
  • At least 3 years of legal and/or compliance experience required, preferably in the securities (or other highly regulated) industry
  • Series 7, 66, 52 and 24 licenses must be obtained within 12 months of hire
  • Knowledge of the relevant SEC, FINRA and MSRB Fixed Income Trading and Operations rules and applicable federal and state securities laws strongly preferred
  • Adept at analyzing and creatively solving ambiguous matters that are often complex
  • Ability to develop strong and meaningful networks and partnerships at all levels and in a wide variety of areas in Compliance and across the organization (e.g. Trading, Operations, Investment Advisory Platform Management, Legal and Risk)
  • Highly organized, collaborative, adaptable to change and excited to continually learn in a dynamic organization
  • Superb writing, verbal and interpersonal skills
  • Exceptional judgment, strong work ethic and adept at thought leadership
  • Previous involvement in significant regulatory projects and initiatives


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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