Compliance Counsel II

3 days ago


Tempe, Arizona, United States Edward Jones Full time
Job Overview

Edward 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 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.

Key Responsibilities
  • 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.
Requirements
  • 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.
About Us

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. 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.



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