Compliance Counsel II, CMPL

7 days 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: Home Office

In this role, you will operate with a high degree of independence and partner with numerous internal business areas throughout the firm to support the continued growth of Edward Jones and our commitment to helping serious, long-term investors achieve their financial goals. Your primary responsibilities will include a focus on maintaining and continually evolving our compliance program with a growth and adaptability mindset, requiring strong collaboration and the ability to foster meaningful and deep relationships across the organization. You will also be responsible for prioritizing numerous complex efforts simultaneously, while creating innovative approaches to successfully achieve optimal solutions for our clients, regulators, and stakeholders. You will be expected to demonstrate leadership behaviors and achieve results through others.
  • With significant autonomy, use seasoned judgment to provide advice and guidance on prominent and complex strategic initiatives to a diverse group of stakeholders, including senior executives, regarding a wide range of compliance, regulatory, and business matters to ensure the firm meets its obligations to clients and regulators
  • Assist in the design, oversight, and enhancement of the firm's compliance programs that prevent, detect, and promptly address compliance matters that are materially impactful to the firm and its affiliates
  • Effectively partner and communicate with leaders and senior executives in investigating and resolving complex and ambiguous compliance, regulatory, and business issues
  • Partner with business areas and service providers to ensure compliance with federal and state securities laws and regulations and internal policies and procedures, and communicate effectively with other compliance professionals, attorneys, associates and leaders
  • Demonstrate significant knowledge of laws, rules, and regulations including FINRA, SEC, and Investment Advisers Act
  • Oversee and provide guidance to leadership of various departments on: (a) compliance with relevant regulatory requirements, including laws, rules, and regulations; and, (b) the design, implementation and operation of the compliance program
  • Lead assessments of policies, procedures, and controls
  • Review and occasionally assist in the preparation of regulatory acknowledgements, disclosures, filings, responses, marketing, education, and training materials.
  • Oversee due diligence of the firm's third-party service providers.
  • Conduct or lead periodic regulatory reviews of the firm's business.
  • Assist in the onboarding and mentorship of new associates
  • Advise pertinent stakeholders on regulatory actions, including enforcement inquiries and examinations, as necessary


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: $136571
Hiring Maximum: $232541

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.
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Skills/Requirements

  • Requires J.D. and license that is active and in good standing
  • At least 5 years required, 7 years preferred, of legal and/or compliance experience with deep subject matter expertise of federal and state securities laws which may include: Securities Act of 1933 & 1934, FINRA, SEC, Investment Advisers Act of 1940, Investment Company Act of 1940, MSRB, NAIC, DOL, and/or ERISA.
  • Requires excellent problem-solving, verbal, and written communication skills
  • Exemplify leadership and interpersonal skills, with an ability to develop meaningful partnerships at all levels within the organization
  • Demonstrated ability to autonomously influence decision makers at all levels the organization
  • Capable of: (a) successfully leading projects; (b) overseeing complex situations requiring compliance support and guidance; (c) reviewing work of associates; and, (d) training and mentoring associates
  • Adept at analyzing and creatively solving ambiguous matters that are often complex
  • Previous involvement in significant projects and initiatives, including those with senior stakeholders
  • Highly organized, collaborative, adaptable to change and excited to continually learn in a dynamic organization
  • Exceptional judgment, strong work ethic, thought leadership and unwavering integrity
  • SIE exam (if applicable), Series 7, 66 and 24 licenses must be obtained within 12 months of hire if not already held

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.

#LI-HO

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