Compliance Counsel II Position

2 weeks ago


Tempe, Arizona, United States Edward Jones Full time
Compliance Counsel II Job Overview

Edward Jones is seeking a highly skilled Compliance Counsel II 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, 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 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.
What We Offer:

At Edward Jones, we value and respect our associates and their contributions. 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:

Hiring Minimum: $136,571

Hiring Maximum: $232,541


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