Compliance Counsel
4 weeks ago
Edward 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 Responsibilities- Provide compliance advice and guidance to Fixed Income Trading and Operations areas to maintain and evolve the compliance program.
- Interpret laws, rules, and regulations affecting the organization and develop expertise in trading and operational issues.
- Investigate and resolve compliance issues and respond to questions from internal stakeholders.
- Influence and guide compliance, regulatory, and business initiatives by recommending innovative solutions and best practices.
- Coordinate and conduct assessments of internal policies, procedures, and controls.
- Oversight the operation of various departments to ensure compliance with relevant regulatory requirements.
- Provide significant support to projects and initiatives.
- J.D. and active license to practice law.
- At least 3 years of legal and/or compliance experience, preferably in the securities industry.
- Series 7, 66, 52, and 24 licenses must be obtained within 12 months of hire.
- Knowledge of SEC, FINRA, and MSRB Fixed Income Trading and Operations rules and applicable federal and state securities laws.
- Ability to analyze and creatively solve complex matters.
- Strong networks and partnerships at all levels and in various areas of Compliance and across the organization.
- Highly organized, collaborative, adaptable, and excited to learn in a dynamic organization.
- Superb writing, verbal, and interpersonal skills.
- Exceptional judgment, strong work ethic, and adept at thought leadership.
- Previous involvement in significant regulatory projects and initiatives.
Edward Jones' compensation and benefits package includes medical and prescription drug, dental, vision, voluntary benefits, short- and long-term disability, basic life, and basic AD&D coverage. We offer a 401k retirement plan, tax-advantaged accounts, and a paid day for volunteerism. Associates may be eligible for bonuses and profit sharing.
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 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.
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