Associate General Counsel I
1 month 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
Do you enjoy working in the regulatory space and handling complex issues? Are you a great communicator and problem-solver? If so, this might be a perfect opportunity for you
Under general supervision, responsible for providing advice to the Complaints team and other areas of the Legal Division and firm, when applicable, on legal and regulatory issues relating to client complaints and the Complaints team's processes. Uses seasoned judgment to identify and assess potential liability to the firm, its affiliates, and its associates, and communicates effectively with other attorneys, professionals, associates, and leaders. Works closely with other attorneys in the Legal Department.
What You'll Do:
The associate will be responsible for:
- Serve as legal subject matter expert regarding issues involved in client complaints, including regulations thereof, for the Complaints team, Legal Division and firm.
- Conduct legal research and analysis of legal issues necessary to resolve client complaints. Enhance, retain and share that knowledge within the Complaints team, Legal Division, and for future complaint matters.
- Manage outside counsel relating to legal and regulatory issues within complaint matters and the resolution thereof.
- Assist the firm with meeting regulatory reporting obligations resulting from the complaint process by coding consistent with regulatory requirements, promptly identifying when a regulatory filing is required, and preparing the appropriate language to complete the filing.
- Collaborate to review and approve language for regulatory filings, including for 4530 filings and U4/U5 amendments, to ensure clarity, consistency, and accuracy as well as compliance with legal requirements and industry regulations.
- Collaborate with firm counsel in the Regulatory and Litigation Departments to assist with regulatory inquiries, investigations, arbitrations and litigation.
- Testify in arbitrations and litigation related to complaint investigations conducted by the associate.
- Serve as a resource to ensure the firm is meeting its regulatory obligations with respect to customer complaints and ensure the department's SOPs and WSPs are consistent with those obligations.
- Analyze correspondence (e.g., from clients, attorneys, regulatory agencies, etc.) to identify complaints, assess risk, and determine the most appropriate response, including those relating to the firm's most legally and factually complex complaint matters and those that pose significant legal and reputational risk to the firm and financial advisors.
- Investigate, respond to and resolve client complaints, including those relating to the firm's most legally and factually complex complaint matters and those that pose significant legal and reputational risk to the firm and financial advisors, using independent judgment with minimal input from leaders.
- Serve as a resource to other complaint investigators and leaders to identify legal issues in complaints. Develop and lead the strategy for responding to and resolving the firm's most legally and factually complex complaint matters and those that pose significant legal and reputational risk to the firm and financial advisors.
- Partner with others in Complaints, the Legal Division and firm to propose and assist in implementation of corrective action based on the findings of complaint investigations.
- Collaborate in the analysis of complaint data, identify actionable trends and communicate findings and potential recommendations to leaders (and other divisions) to reduce future client complaints and create a better client, branch and firm experience.
- Develop new Complaint Investigators by providing training and coaching regarding the responsibilities and skills of the role by:
- Developing and sharing general knowledge about products, services and operations of the firm;
- Developing and sharing advanced, specialized knowledge of products and service areas to serve as a subject matter expert within the department;
- Serving as an escalation point for more complex legal and factual matters and issues that Complaint Investigators encounter in their investigations.
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: $113810
Hiring Maximum: $193785
Read More About Job Overview
Skills/Requirements
What Experience You Need:
- J.D. and license to practice in Missouri or an equivalent state.
- Minimum of three years of progressive professional responsibility and experience in relevant practice areas.
- Series 7, 66, 9, 10, and 24 licenses are required or must be obtained within 12 months of hire.
What Might Set You Apart:
- Progressive responsibility as an attorney in private practice, in the public sector, or in an in-house counsel capacity.
- Exceptional legal knowledge, judgment, work ethic and integrity.
- Securities industry experience preferred; specifically, knowledge of/experience with industry regulations regarding client complaints, FINRA problem and product codes, regulatory filing requirements including those relating to Forms U4/U5 and Rule 4530.
- Demonstrated ability to analyze and resolve complex matters including experience in negotiating settlements.
- Excellent verbal and written communication skills, with demonstrated ability to influence key internal and external stakeholders, including senior leadership, adversarial parties and regulators.
- Excellent organizational and prioritization skills in a high-volume, deadline-driven environment
Problem Solving:
- Reviews, assesses and makes recommendations to resolve legal issues for the Complaints team and other areas of the Legal Division and firm, when applicable, associated with allegations involving financial advisor misconduct, operational issues, firm policies and procedures, and industry rules and regulations.
- Researches legal questions and drafts legal documents but may work in partnership with or reliance on the support of other attorneys, outside counsel or leaders to resolve the most complex legal problems.
- Analyzes data across complaint matters for trend identification and impact analysis and communication of same to the Legal Division and relevant business areas to aid in prevention of future complaints.
Span of Influence:
- Communicates and interacts with associates across the firm, but most predominantly within the Legal and Compliance Divisions.
- May provide advice on matters that may be material to the firm, but mostly limited to complaint matters for which we must reserve settlement dollars.
- Represents the firm and its affiliates by directly working with opposing counsel and outside counsel as well as state and federal regulators.
- Manages outside counsel responsible for providing legal and regulatory advice to the firm and its affiliates related to complaint mattters.
- Workload is large and moderately complex, but matters are generally limited to those for which the Complaints team is responsible.
- Operates strategically and handles the tactical day-to-day issues facing the Complaints team and firm.
- Handles the most complex, higher-risk matters that can directly affect the relationship between the client and the financial advisor/firm, as well as have significant legal and regulatory impact on the firm.
- Accountable for performing high-quality investigations and effecting resolutions that can impact regulatory reviews, as well as involve potential disciplinary action against the firm or associates.
- The impact of decisions can be long-term on clients, associates, the firm and the integrity of the firm's supervisory model and can lead to adverse results in future litigation and arbitration if the investigation and resolution are not handled properly.
- Advise associates in other departments, including Associate Relations, Field Supervision, Branch Audit, Branch and Region Development, etc., related to the complaint investigation and resolution process, including issues arising as a result of a complaint being received (i.e. security issues, how to handle the client relationship going forward, FA relocation issues, etc.).
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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