Senior Compliance Advisor
4 weeks ago
Edward Jones is a financial services firm where people come first. We're proud to be privately-owned, placing the focus on our clients rather than shareholder returns.
We're seeking a Senior HQ Compliance Advisor to provide regulatory and compliance guidance to our business areas regarding trading and operational functions. This role will be responsible for maintaining and continually evolving our compliance program.
Key Responsibilities
Provide compliance advice and guidance to our Fixed Income Trading and Operations areas
Interpret laws, rules, and regulations affecting our organization and develop specialized depth and breadth of expertise
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
Ensure compliance with relevant regulatory requirements, including laws, rules, and regulations, as well as the design, implementation, and operation of our overall compliance program
Requirements
Bachelor's degree preferred
Series 7, 66, 24, and 52 must be obtained within 12 months of hire if not already held
Minimum of five years of securities industry experience, with at least 3 years in a compliance capacity or similar experience
Knowledge of the relevant SEC, FINRA, and MSRB Fixed Income Trading and Operations rules and applicable federal and state securities laws strongly preferred
Adept at analyzing and creatively solving ambiguous, complex matters
Ability to develop strong and meaningful networks and partnerships at all levels and in a wide variety of areas in Compliance and across the organization
Highly organized, collaborative, adaptable to change, and excited to continually 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
About Us
We're proud of our associates' contributions to the firm and the recognitions we have received. We're building a place where everyone feels like they belong. We're 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.
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