Associate General Counsel III, Governance and Risk
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
The AGC III, Securities and Governance will be responsible for handling a variety of assigned legal projects, including corporate governance, securities law and reporting/disclosure, risk management, and general corporate and partnership issues. The individual will work closely with other attorneys in the Legal Department and with business leaders and stakeholders throughout the Firm to provide legal advice on a diverse range of corporate, securities, governance and risk matters related to emerging and ongoing initiatives, including in response to a frequently changing regulatory environment.
This individual will be a key source of influence; leveraging their prior securities law and reporting/disclosure, corporate governance and risk management experience to advise the Firm's key business stakeholders and be a thought leader within the Firm.
The Associate General Counsel III - Securities and Governance should possess:
- Expert level knowledge of federal and state securities laws and disclosure practices, including experience with filing annual, quarterly and interim reports
- Experience with best-in-class corporate secretary and governance programs, practices, policies, and initiatives for various business organization types, including partnerships
- Strong knowledge of general corporate law, including governance matters and complex subsidiary structures
- Experience with partnership governance documents including partnership agreements
- Familiarity with laws, rules, regulations, and disclosure practices related to risk management and risk management frameworks
- Familiarity with issues in the securities industry, including issues involving the SEC, FINRA, and state securities regulators
- Commitment to high level of ethics, professionalism and integrity; a demonstrated ability to maintain confidentiality; sound conflict resolution skills
- Excellent communications skills; strong initiative, work ethic, and leadership skills; exceptional judgment and decision-making abilities
- Broad experience providing legal advice, independently and with other attorneys in the Firm and sophisticated outside counsel, to identify, evaluate and resolve complex legal questions and issues
- Ability to analyze and resolve complex legal matters, recommend changes to organizational policies and procedures, develop innovative solutions to manage and mitigate risk to the Firm, and add value in a dynamic and transforming organizational and regulatory environment
- Ability to successfully partner with associates across the Firm in a collaborative manner to build legal understanding, deliver results, and move important work through the organization
- Ability to think independently and strategically, be proactive, execute tactically, and drive matters to conclusion
- Ability to independently manage a large, complex, and diverse workload often in short timeframes
- Strong organizational skills, attention to detail, resourcefulness, and flexibility for changing priorities
Specifically, the attorney will:
- Provide legal advice and guidance and assist with preparation and filing of required filings and disclosures with the SEC and other applicable regulators including, without limitation, Form 10-K, Form 10-Q, Form 17-H, Form 8-K, Form 3, and Form 13-H
- Provide legal guidance, advice, and support in connection with the Firm's ownership structure, partnership interest offerings, and related disclosures
- Provide legal advice, guidance and support to Firm governance structure including, without limitation, Audit Committee, executive management teams, and formal governance committees
- Support entity management, state registration and maintenance filings
- Provide legal support and guidance to the Firm's enterprise risk management capability, advise on development and maintenance of enterprise risk management and risk governance frameworks and programs in accordance with existing and proposed laws, rules, regulations, and industry best practices.
- Provide legal counsel and guidance to the Firm's Internal Audit Department.
Edward Jones' compensation and benefits package includes medical and prescription drug, dental, vision, voluntary benefits (such as accident, hospital indemnity, and critical illness), short- and long-term disability, basic life, and basic AD&D coverage. Short- and long-term disability, basic life, and basic AD&D coverage are provided at no cost to associates. Edward Jones offers a 401k retirement plan, and tax-advantaged accounts: health savings account, and flexible spending account. Edward Jones observes ten paid holidays and provides 15 days of vacation for new associates beginning on January 1 of each year, as well as sick time, personal days, and a paid day for volunteerism. Associates may be eligible for bonuses and profit sharing. All associates are eligible for the firm's Employee Assistance Program. For more information on the Benefits available to Edward Jones associates, please visit our benefits page.
Edward Jones' compensation and benefits package includes medical and prescription drug, dental, vision, voluntary benefits (such as accident, hospital indemnity, and critical illness), short- and long-term disability, basic life, and basic AD&D coverage. Short- and long-term disability, basic life, and basic AD&D coverage are provided at no cost to associates. Edward Jones offers a 401k retirement plan, and tax-advantaged accounts: health savings account, and flexible spending account. Edward Jones observes ten paid holidays and provides 15 days of vacation for new associates beginning on January 1 of each year, as well as sick time, personal days, and a paid day for volunteerism. Associates may be eligible for bonuses and profit sharing. All associates are eligible for the firm's Employee Assistance Program. For more information on the Benefits available to Edward Jones associates, please visit our benefits page.
Hiring Minimum: $163886
Hiring Maximum: $279048
Read More About Job Overview
Skills/Requirements
- JD required
- Preferred years of experience: 10 plus
- Minimum of 6 years of progressive responsibility as a securities and/or corporate governance lawyer in private practice, the public sector, or in an in-house counsel capacity.
- Experience within the financial services industry is preferred, but not required depending upon other relevant corporate law accomplishments
- Experience with risk management frameworks and programs in a financial services organization is preferred but not required.
Qualified applicants with arrest or conviction records will be considered for employment in accordance with the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act. Edward Jones is prohibited from hiring individuals with certain specified criminal history as set forth in Section 3(a)(39) and 15(b)(4) and Rule 17a-3(a)(12) of the Securities and Exchange Act of 1934, and conducts background reviews consistent with FINRA Rule 3110(e). A copy of a notice regarding the provisions of the Los Angeles County Fair Chance Ordinance is available at: dcba.lacounty.gov/wp-content/uploads/2024/08/FCOE-Official-Notice-Eng-Final-8.30.2024.pdf.
Read More About Skills/Requirements
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
Read More About Awards & Accolades
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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