Senior HQ Compliance Advisor

4 weeks ago

Saint Louis, 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

Capital Markets and Operations Compliance is responsible for providing regulatory and compliance guidance to the business areas of the firm regarding trading and operational functions. This department seeks a qualified individual to serve as a Senior HQ Compliance Advisor, located in the St. Louis office, to provide compliance support 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: $96471
Hiring Maximum: $164262

Skills/Requirements

Position Requirements :
  • Bachelor's degree preferred
  • Series 7, 66, 24 and 52 must be obtained within 12 months of hire if not already held
  • Minimum of five years of securities industry experience, with at least 3 years in a compliance capacity or similar experience
  • 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, complex matters
  • 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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