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Investment Advisory Compliance Counsel

4 months ago

Tempe, 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

In this role, you will partner with numerous internal business areas throughout the firm to support the continued growth of Edward Jones' retail investment advisory 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 a suite of discretionary and client-directed fee-based advisory programs currently comprised of 4.8+ million accounts totaling more than $700 billion in assets. Additionally, you will be involved in evolving Edward Jones' advisory offerings to better serve current and prospective clients.

The work is dynamic and requires: (i) strong collaboration and the ability to foster meaningful and deep relationships across the organization; (ii) the ability to prioritize and timely address numerous complex efforts simultaneously; (iii) flexibility and innovative approaches to successfully achieve optimal solutions for clients, branch teams and the firm; and, (iv) a growth mindset and adaptability to help the firm's advisory business evolve. If you exhibit these qualities, possess an aptitude for continual learning and prioritize being an instrumental partner dedicated to advancing Edward Jones' investment advisory business, we encourage you to apply

What you will do....
  • Provide wide-ranging compliance advice and guidance to areas that support the firm's advisory business to maintain and continually evolve the adviser's compliance program
  • Engage in significant enterprise-level initiatives involving the firm's retail advisory offerings
  • Influence and guide the adviser's compliance, regulatory, and business initiatives by recommending innovative solutions and best practices that benefit clients, branch teams and the firm
  • Investigate and timely resolve compliance issues, including those that are complex and ambiguous, and respond to questions from internal stakeholders throughout the organization
  • Interpret laws, rules and regulations affecting the operation of the organization and develop specialized depth and breadth of expertise involving a wide variety of investment advisory matters
  • Coordinate and conduct assessments of internal policies, procedures and controls
  • Oversight: (a) the operation of various departments to ensure compliance with relevant regulatory requirements, including laws, rules and regulations; and, (b) the design, implementation and operation of the adviser's overall compliance program
  • Aid in conducting the adviser's annual compliance review
  • Assist in the preparation of the adviser's regulatory disclosures (e.g. Form ADV) as well as certain regulatory filings and responses
  • May independently conduct due diligence and ongoing oversight of third-party service providers
  • Accountability for the performance and results of some functions within the Investment Advisory Compliance department's scope of work


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

What you'll need...
  • 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
  • Knowledge of the Investment Advisers Act of 1940, federal and state securities laws, and the investment advisory business preferred but not required
  • 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. Operations, Investment Advisory Platform Management, Legal and Risk)
  • Previous involvement in significant projects and initiatives preferred
  • 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, thought leadership and unwavering integrity

**Active Series 7, 66 and 24 licenses preferred. Although not required for the position, you will be asked to obtain these licenses if not already held.**

***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.***

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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