Compliance Counsel II
2 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
Do you have a background in litigation and providing legal guidance? Do you enjoy solving complex issues alongside industry regulations and firm business practices? If so, this opportunity might be for you
Edward Jones is seeking a Compliance Counsel to support the growth of its affiliated mutual fund complex.
This position performs critical functions including providing regulatory advice and guidance to Firm management, conducting initial and ongoing diligence on fund service providers, preparing and presenting quarterly reports to the funds' board of trustees, developing and maintaining policies and procedures, facilitating regulatory examinations, evaluating the impact of regulations relevant to the affiliated funds business, and performing compliance testing across the Firm.
What You'll Do:
- Partner with applicable business areas and service providers to provide timely advice and guidance regarding compliance with federal and state securities laws and regulations and internal policies and procedures.
- Conduct periodic oversight reviews of compliance policies and procedures pursuant to Rule 38a-1 of the Investment Company Act and Rule 206(4)-7 of the Investment Advisers Act and provide written documentation of the results.
- Conduct ongoing oversight and diligence of mutual fund service providers.
- Review prospectuses, SAI, periodic reporting, advertising, and other disclosures.
- Develop and update compliance policies and procedures.
- Provide ongoing compliance support to the funds and the adviser.
- Facilitate regulatory examinations of the firm's Fund and Adviser affiliates.
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: $136571
Hiring Maximum: $232541
Skills/Requirements
What You'll Need:
- Juris Doctorate with exceptional academic credentials.
- License to practice law in state of Missouri or an equivalent state.
- Minimum of 3-5 years of progressive responsibility as an attorney in private practice, in the public sector, or in an in-house counsel capacity. A background in litigation and general knowledge of financial services is preferred.
- SIE exam, Series 7, 66, and 24, may be required within 12 months of hire based on the role.
- Ability to interpret and apply regulations relevant to diligence, oversight, and development and review of policies and procedures.
- Strong leadership and interpersonal skills are essential.
- Resolve complex issues through interpretation and application of industry regulations and firm business practices.
- Possess strong verbal and written communication skills.
- The Compliance Counsel could be based at our HQ offices in St. Louis or Tempe, have a hybrid arrangement, or work remotely. This role requires travel through the use of commercial and motor vehicle transportation. A valid driver's license is required. Travel is estimated to be 15 trips per year for 2-3 days each, but may increase or decrease based on business needs.
- 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 500 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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