Compliance Counsel II

6 days ago

St 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

Do you have a background in litigation and providing legal guidance? Do you enjoy solving complex issues alongside industry regulations and firm business practices? If so, this opportunity might be for you

Edward Jones is seeking a Compliance Counsel to support the growth of its affiliated mutual fund complex.

This position performs critical functions including providing regulatory advice and guidance to Firm management, conducting initial and ongoing diligence on fund service providers, preparing and presenting quarterly reports to the funds' board of trustees, developing and maintaining policies and procedures, facilitating regulatory examinations, evaluating the impact of regulations relevant to the affiliated funds business, and performing compliance testing across the Firm.

What You'll Do
  • Partner with applicable business areas and service providers to provide timely advice and guidance regarding compliance with federal and state securities laws and regulations and internal policies and procedures.
  • Conduct periodic oversight reviews of compliance policies and procedures pursuant to Rule 38a-1 of the Investment Company Act and Rule 206(4)-7 of the Investment Advisers Act and provide written documentation of the results.
  • Conduct ongoing oversight and diligence of mutual fund service providers.
  • Review prospectuses, SAI, periodic reporting, advertising, and other disclosures.
  • Develop and update compliance policies and procedures.
  • Provide ongoing compliance support to the funds and the adviser.
  • Facilitate regulatory examinations of the firm's Fund and Adviser affiliates.
Benefits

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 You'll Need:

  • Juris Doctorate with exceptional academic credentials.
  • License to practice law in state of Missouri or an equivalent state.
  • Minimum of 3-5 years of progressive responsibility as an attorney in private practice, in the public sector, or in an in-house counsel capacity. A background in litigation and general knowledge of financial services is preferred.
  • SIE exam, Series 7, 66, and 24, may be required within 12 months of hire based on the role.
What Might Set You Apart
  • Ability to interpret and apply regulations relevant to diligence, oversight, and development and review of policies and procedures.
  • Strong leadership and interpersonal skills are essential.
  • Resolve complex issues through interpretation and application of industry regulations and firm business practices.
  • Possess strong verbal and written communication skills.
  • The Compliance Counsel could be based at our HQ offices in St. Louis or Tempe, have a hybrid arrangement, or work remotely. This role requires travel through the use of commercial and motor vehicle transportation. A valid driver's license is required. Travel is estimated to be 15 trips per year for 2-3 days each, but may increase or decrease based on business needs.
  • Candidates that live within 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.

About Us

Join a financial services firm where your contributions are valued. Edward Jones is a Fortune 500 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.

#J-18808-Ljbffr

  • Compliance Counsel II

    7 days ago

    St. 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...

  • Compliance Counsel II

    5 days ago

    St Louis, Missouri, United States Edward Jones Full time

    Job OverviewEdward Jones is seeking a highly skilled Compliance Counsel to support the growth of its affiliated mutual fund complex.Key Responsibilities:Provide regulatory advice and guidance to Firm management, ensuring compliance with federal and state securities laws and regulations.Conduct periodic oversight reviews of compliance policies and procedures,...

  • Compliance Counsel II

    4 days ago

    St Louis, Missouri, United States Edward Jones Full time

    Job OverviewEdward Jones is seeking a highly skilled Compliance Counsel to support the growth of its affiliated mutual fund complex. This role performs critical functions, including providing regulatory advice and guidance to Firm management, conducting initial and ongoing diligence on fund service providers, preparing and presenting quarterly reports to the...

  • Compliance Counsel II

    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...

  • Compliance Counsel II

    2 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...

  • Compliance Counsel II

    1 month ago

    Saint Louis, United States Edward Jones Full time

    .hide-on-hq-category{display:none !important;}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...

  • Compliance Counsel II

    2 months 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...

  • Senior Corporate Counsel, Compliance and Privacy

    2 weeks ago

    St Paul, United States Taylor Root Full time

    Our client, an international consumer goods company, is seeking a Senior Corporate Counsel, Compliance and Privacy, to join their Legal team. The Senior Counsel report directly into the US General Counsel and will handle data privacy, data management and consumer compliance matters. This position will be their first US Counsel in this area, so offers an...

  • General Counsel

    1 week ago

    St. Louis, United States Stereotaxis, Inc. Full time

    Job Description Company Description: Stereotaxis is the global leader in innovative robotic technologies designed to enhance the treatment of arrhythmias and perform endovascular procedures. Its mission is the discovery, development and delivery of robotic systems, instruments, and information solutions for the interventional laboratory. These...

  • Senior Manager, Corporate Counsel

    2 weeks ago

    St Louis, Missouri, United States Core & Main Full time

    Job SummaryWe are seeking a highly skilled and experienced Corporate Attorney to join our team at Core & Main. As a Senior Manager, Legal, you will play a critical role in providing counsel and advice on a wide range of corporate legal matters, including mergers and acquisitions, transactional work, and public company compliance.Key ResponsibilitiesCorporate...

  • Senior Manager, Corporate Counsel

    1 week ago

    St Louis, Missouri, United States Core & Main Full time

    Job SummaryWe are seeking a highly skilled Senior Manager, Legal to join our team at Core & Main. This is a critical role that requires a strong understanding of corporate law, risk management, and the ability to work collaboratively with cross-functional teams.Key ResponsibilitiesAssist in the preparation, review, and filing of certain SEC documents,...

  • General Counsel

    7 days ago

    St Louis, Missouri, United States Stereotaxis, Inc. Full time

    Job DescriptionCompany Overview:Stereotaxis, Inc. is a pioneering leader in the development of innovative robotic technologies designed to enhance the treatment of arrhythmias and perform endovascular procedures. Our mission is to drive the discovery, development, and delivery of robotic systems, instruments, and information solutions for the interventional...

  • Lead Counsel, Corporate Affairs

    2 weeks ago

    St Louis, Missouri, United States The Ladders Full time

    Position OverviewThis role is based in an office setting, requiring attendance five days a week.SummaryThe Ladders is seeking a seasoned corporate attorney to enhance our legal team. In this capacity, you will provide guidance and legal support on a diverse range of issues affecting our business operations, including mergers and acquisitions, corporate...

  • Safety and Compliance Specialist

    1 week ago

    St Louis, Missouri, United States DAP Full time

    About the RoleDAP is seeking a highly skilled Environmental Health and Safety (EHS) Specialist to join our team in the Pacific region. As an EHS Specialist, you will play a critical role in ensuring the safety and well-being of our employees, customers, and the environment.Key ResponsibilitiesCompliance and Risk Management: Identify and communicate...

  • Financial Compliance Specialist

    4 weeks ago

    St Louis, Missouri, United States The Cigna Group Full time

    The Financial Compliance Specialist will be responsible for assisting with overall Sarbanes Oxley (SOX) and SOC 1 compliance for the Evernorth segment, focused on business processes internal controls This position will play a key role in collaborating with control owners in assessing the design of internal controls in key processes to address risks within...

  • Associate Senior Counsel, Litigation

    4 weeks ago

    St Louis, Missouri, United States The Cigna Group Full time

    The job profile for this position is Associate Senior Counsel, which is a Band 5 Senior Contributor Career Track Role.Excited to grow your career?We value our talented employees, and whenever possible strive to help one of our associates grow professionally before recruiting new talent to our open positions. If you think the open position you see is right...

  • Chief Privacy Counsel

    3 days ago

    St Louis, Missouri, United States The Cigna Group Full time

    About the RoleWe are seeking a highly experienced and skilled Chief Privacy Counsel to join our team at The Cigna Group. As a key member of our organization, you will play a critical role in leading our Privacy Legal team and providing expert guidance on complex privacy, cybersecurity, and data governance matters.Key ResponsibilitiesCounsel the enterprise on...

  • Senior Managing Counsel- Client Services

    3 months ago

    St. Louis, United States The Cigna Group Full time

    Responsibilities: The Senior Managing Counsel for Client Services (Senior Managing Counsel) position will provide strategic legal advice and lead a team of attorneys providing counsel to Sales and Account staff on a variety of legal matters, including go-to-market strategy for new solutions, modifications or enhancements to existing solutions, client...

  • Senior Employment Counsel

    1 month ago

    St Louis, Missouri, United States Emerson Full time

    Job DescriptionWe are seeking an attorney to join our Human Resources Legal Team as the Senior Employment Counsel. This position will be located at Emerson's Corporate Headquarters in St. Louis, MO. As Senior Employment Counsel, you will support our business primarily throughout the United States. Also, the successful candidate will represent and provide...

  • Deputy General Counsel

    2 weeks ago

    St Louis, United States Stifel Financial Full time

    Summary The Deputy General Counsel will provide legal advice and service primarily to Stifel Financial Corp.'s subsidiary banks and trust companies (collectively, the "Banks"). In cooperation with management of the Banks and their parent company, the candidate will have responsibility for advising business partners on various issues, such as deposit and loan...