Compliance Counsel II

7 days ago


St Louis, Missouri, United States Edward Jones Full time
Opportunity Overview

We 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 Responsibilities:
  • Partner with business areas and service providers to provide timely advice and guidance on compliance with federal and state securities laws and regulations.
  • Conduct periodic oversight reviews of compliance policies and procedures 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 our funds and adviser.
  • Facilitate regulatory examinations of our firm's Fund and Adviser affiliates.
Requirements:
  • Juris Doctorate with exceptional academic credentials.
  • License to practice law in the 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.
  • SIE exam, Series 7, 66, and 24, may be required within 12 months of hire based on the role.
What We Offer:

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.


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