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Investment Guidelines Analyst
4 months ago
**Your passion. Our purpose. This could be powerful.**
Maybe the markets keep you up at night. Trusts are your forte. Or your idea of a perfect day at the office is a deep dive into equity research. Whatever your passion, at Edward Jones it will have purpose. Your work is meaningful - because it has a singular focus: client relationships. What you do every day helps people achieve and protect their financial goals. Impacting lives for the better. And with our remarkable work-life flexibility, one of the lives it could enhance is yours.
**Job Overview**
Position Schedule: Full-Time
**Team Overview**:
Edward D. Jones & Co, L.P. ("Edward Jones") is seeking a Fund Investment Guidelines Specialist II for our Proprietary Funds Investment Guidelines ("PFIG") team, whose primary goal is overseeing and executing daily investment guidelines and monitoring functions over the Bridge Builder Trust Mutual Funds and Edward Jones Money Market Fund, as well as providing meaningful contributions to the success of multiple oversight programs that are designed to prevent, detect, and assist in resolving potential violations of federal securities laws and regulations for Edward Jones Fund complex, and Service Providers. As a member of the PFIG team, you will be interacting with multiple asset management teams and service providers in the industry, as well as stakeholder across Edward Jones.
**What You Will Do**:
- The core focus of the PFIG team is to partner with stakeholders, evaluate, analyze, oversee, and execute the daily first line investment guidelines operations processes:
- Performs daily monitoring of post-trade portfolio compliance test results generated by Charles River (CRD). Research each exception and escalate potential breaches and other significant findings to the Investment Guidelines management team.
- Daily monitoring of liquidity risk and money market fund programs.
- Participates in Olive Street Investment Advisers, LLC, and respective sub-adviser 15(c) reviews.
- Completes Internal Revenue Service tax compliance testing on a quarterly basis.
- Participates in annual fund matrix review and procedure testing exercises.
- Identifying, analyzing, and resolving investment guidelines issues across the fund complex.
- Assists with overseeing subadviser due diligence, investment compliance monitoring, facilitating and reviewing quarterly questionnaires.
- Prepares periodic (daily, weekly, monthly etc.) compliance documentation, including results of all automated and manual fund guideline rules in accordance with departmental procedures.
- Effective monitoring of the investment guidelines' mailbox for communications from overlay manager, sub-advisers, internal stakeholders, and service providers.
- As an associate within Investment Guidelines team, you will interact with various internal business departments across Edward Jones.
- Developing and maintaining relationships with internal stakeholders, sub-adviser firms, and key service providers.
- Provide real-time leadership advice and guidance to the stakeholders on investment-related guidelines matters.
- Researching, analyzing, and interpreting current, new, and proposed regulatory requirements.
- Implementing and documenting new policies and procedures relating to mutual funds, Collective Investment Trusts, and investment advisers.
- Reviewing, analyzing, and testing current policies and procedures; identifying, recommending, and implementing new and/or enhanced practices.
- Assists senior level team members with additional routine and more senior tasks and assignments (i.e., data management, new sub-adviser on boarding, etc.).
- This position is known internally as a Specialist II-Fund Admin
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: $70659
Hiring Maximum: $116516
**Skills/Requirements**
**What Experience You Need**:
- 5+ years of related experience in asset management industry focusing on regulatory, securities, or investment compliance experience.
- Bachelor's degree in business, Finance, pre-law, or equivalent education and experience.
- Securities licenses Series 7 and Series 66 required within 6 months of hire.
- Familiarity with the following programs strongly preferred: Charles River Compliance System, Bloomberg, Refinitive, and MyState Street.
- Proficient with Microsoft Office 365.
- Experience in preparing periodic and/or ad hoc Management and Board reporting.
- Extensive Compliance experience related to equities and/or global
