Compliance Counsel

1 week 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 OverviewPosition Schedule: Full-TimeEdward Jones is seeking Compliance Counsel for our Capital Markets and Operations Compliance area. In this role, you will partner with numerous internal business areas throughout the firm to support the continued growth of Edward Jones' retail investment 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 the firm's Fixed Income Trading and Operations areas.Primary Responsibilities:Provide wide-ranging compliance advice and guidance to the firm's Fixed Income Trading and Operations areas to maintain and continually evolve the compliance programInterpret laws, rules and regulations affecting the operation of the organization and develop specialized depth and breadth of expertise involving trading and operational issuesInvestigate and resolve compliance issues and respond to questions from internal stakeholders throughout the organizationInfluence and guide compliance, regulatory, and business initiatives by recommending innovative solutions and best practices that benefit clients, branch teams and the firmCoordinate and conduct assessments of internal policies, procedures and controlsOversight the operation of various departments to ensure compliance with relevant regulatory requirements, including laws, rules and regulations, as well as the design, implementation and operation of the overall compliance programProvide significant support to projects and initiativesCandidates 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.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: $113810Hiring Maximum: $193785Skills/RequirementsPosition Requirements:J.D. and license to practice law that is active and in good standingAt least 3 years of legal and/or compliance experience required, preferably in the securities (or other highly regulated) industrySeries 7, 66, 52 and 24 licenses must be obtained within 12 months of hireKnowledge of the relevant SEC, FINRA and MSRB Fixed Income Trading and Operations rules and applicable federal and state securities laws strongly preferredAdept at analyzing and creatively solving ambiguous matters that are often complexAbility 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. Trading, Operations, Investment Advisory Platform Management, Legal and Risk)Highly organized, collaborative, adaptable to change and excited to continually learn in a dynamic organizationSuperb writing, verbal and interpersonal skillsExceptional judgment, strong work ethic and adept at thought leadershipPrevious involvement in significant regulatory projects and initiativesAwards & AccoladesAt 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 JonesCheck out our Canadian awards and accolades: Insights & Information Blog Postings about Edward JonesAbout UsJoin 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

  • Compliance Counsel II

    1 month 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...

  • Compliance Counsel

    3 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...

  • Compliance Counsel

    1 week 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...

  • Compliance Counsel

    1 week 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...

  • Compliance Counsel

    5 days ago

    St Louis, Missouri, United States Edward Jones Full time

    Compliance Counsel RoleEdward Jones is seeking a Compliance Counsel to join our Capital Markets and Operations Compliance area. As a key member of our team, you will partner with internal business areas to support the growth of our retail investment business and our commitment to helping serious, long-term investors achieve their financial goals.Key...

  • Compliance Counsel II

    1 month ago

    St Louis, Missouri, United States Edward Jones Full time

    Compliance Counsel OpportunityWe are seeking a highly skilled Compliance Counsel to support the growth of our affiliated mutual fund complex. As a key member of our team, you will play a critical role in providing regulatory advice and guidance to our management, conducting diligence on fund service providers, and developing and maintaining policies and...

  • Compliance Counsel II

    1 month ago

    St Louis, Missouri, United States Edward Jones Full time

    Compliance Counsel OpportunityWe are seeking a highly skilled Compliance Counsel to support the growth of our affiliated mutual fund complex. As a key member of our team, you will provide critical functions including regulatory advice and guidance to Firm management, conducting initial and ongoing diligence on fund service providers, preparing and presenting...

  • Compliance Counsel II

    3 weeks ago

    St Louis, Missouri, United States Edward Jones Full time

    Job OverviewWe are seeking a highly skilled Compliance Counsel to support the growth of our affiliated mutual fund complex. This role will perform 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...

  • Compliance Counsel II

    7 days ago

    St Louis, Missouri, United States Edward Jones Full time

    Opportunity OverviewWe are seeking a highly skilled Compliance Counsel to support the growth of our affiliated mutual fund complex. As a key member of our team, you will play a critical role in providing regulatory advice and guidance to our management, conducting diligence on fund service providers, and developing and maintaining policies and procedures.Key...

  • Compliance Counsel

    1 week ago

    Saint Louis, MO, 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...

  • Associate Compliance Counsel

    7 days ago

    St Louis, Missouri, United States Nidec Full time

    About the RoleNidec is seeking a highly skilled Associate Compliance Counsel to join our team in the United States. As a key member of our Compliance Office, you will be responsible for developing and implementing ethics and compliance programs, monitoring compliance performance, and providing guidance on compliance matters.Key ResponsibilitiesDevelop,...

  • Compliance Counsel

    2 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...

  • Compliance Counsel II Position

    3 weeks ago

    St Louis, Missouri, United States Edward Jones Full time

    Job OverviewEdward Jones is seeking a Compliance Counsel to support the growth of its affiliated mutual fund complex. This role 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...

  • General Counsel

    2 weeks ago

    St Louis, Missouri, United States Stereotaxis, Inc. Full time

    Job Title: General CounselJob Summary: We are seeking a highly skilled and experienced General Counsel to join our team at Stereotaxis, Inc. The successful candidate will be responsible for providing legal advice to the CEO, Board of Directors, and company management on a broad range of matters, including commercial contracts, business development...

  • HR Compliance Management Leader

    4 weeks ago

    Saint Louis, United States Accounting Career Consultants Full time

    Job DescriptionJob DescriptionCompany: Top 10 largest and long standing St Louis-based, national design build firm, voted top places to work 2024 by STL Post Dispatch Primary responsibilities:Lead role in navigating HR compliance initiatives across multiple corporate functions. Ensure the organization remains compliant across dozens of entities in Canada,...

  • General Counsel

    2 weeks ago

    St Louis, Missouri, United States Stereotaxis, Inc. Full time

    Job Title: General CounselJob Summary: Stereotaxis, Inc. is seeking a highly skilled General Counsel to join our team. As the primary in-house legal expert, you will provide legal advice to the CEO, Board of Directors, and company management on a broad range of matters, including commercial contracts, business development agreements, capital market...

  • General Counsel

    1 month ago

    St. Louis, United States Stereotaxis, Inc. Full time

    Job Description Company Description: Stereotaxis is the global leader in innovative robotic technologies designed to enhance the treatment of arrhythmias and perform endovascular procedures. Its mission is the discovery, development and delivery of robotic systems, instruments, and information solutions for the interventional laboratory. These...

  • Corporate Counsel

    2 weeks ago

    Saint-Bauzille-de-Putois, Occitanie, United States Leadenhall Search & Selection Full time

    Corporate Counsel OpportunityLeadenhall Search & Selection is seeking a highly skilled and experienced Corporate Counsel to join our legal team. The ideal candidate will have a minimum of 5 years of legal experience and a demonstrated background in multiple areas of law, including mergers & acquisitions (M&A), corporate governance, compliance, and some...

  • Senior Corporate Counsel

    1 month ago

    St Louis, Missouri, United States Stereotaxis, Inc. Full time

    Job DescriptionCompany Overview:Stereotaxis, Inc. is a pioneering leader in the development of innovative robotic technologies for the treatment of arrhythmias and endovascular procedures. Our mission is to deliver cutting-edge robotic systems, instruments, and information solutions that enhance the interventional laboratory experience. Our goal is to...

  • Associate General Counsel II

    1 week 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...