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Senior Legal Counsel II
2 months ago
Are you seeking a rewarding career where your contributions truly matter? Edward Jones offers an environment where collaboration, independence, and opportunity thrive.
Team Dynamics:
Our expanding Legal Division is dedicated to enhancing solutions for millions of clients and their families. We are in search of a seasoned attorney to collaborate with business leaders across the organization, providing strategic legal guidance while ensuring compliance with legal and regulatory requirements as we pursue our most critical initiatives.
Key Responsibilities:
- Engage with business leaders to devise solutions that prioritize our clients' best interests and enhance the experience for branch teams, clients, and the firm.
- Navigate the dynamic nature of the role by understanding business objectives and facilitating optimal solutions.
- Represent Edward Jones in addressing inquiries and examinations from various securities regulators, including FINRA, the SEC, and state agencies.
- Identify and evaluate potential risks to the firm, its affiliates, and associates concerning regulatory inquiries and examinations.
- Proactively recognize regulatory and legal issues, involving key stakeholders as necessary.
- Assist in managing regulatory risks through the development of policies and procedures.
- Strengthen the firm's relationships with securities regulators at federal, state, and SRO levels.
- Support branch examinations, public information reviews, registration, and regulatory requests related to complaints.
- Educate and advise business partners and associates on regulatory matters, securities rules, and industry trends.
- Supervise and guide outside counsel when required for regulatory matters.
- Conduct internal reviews and investigations related to securities regulations.
- Demonstrate the ability to manage matters independently while exercising sound judgment on escalation needs.
- Communicate effectively with attorneys, professionals, associates, and leaders, integrating seamlessly into the firm as a valued business partner.
What We Value:
At Edward Jones, we appreciate and respect our associates and their contributions. We recognize individual efforts through a rewards program that fosters long-term careers, financial security, and well-being.
Compensation:
The salary range for this role is informed by national data, with actual pay determined by skills, experience, education, and other relevant factors. The hiring minimum is $136,571, and the hiring maximum is $232,541.
Qualifications:
Applicants must possess a J.D. (or foreign equivalent) with a license to practice in at least one U.S. state bar. A minimum of 8 years of progressive experience as an attorney, including work with government agencies, regulators, and/or SROs in investigations and inquiries, along with in-house or law firm experience in government and regulatory enforcement investigations, is required.
Preferred Attributes:
Strong preference for candidates with prior regulatory experience at FINRA, the SEC, or a state securities agency. Candidates residing within a commutable distance from our home office locations are expected to work in the office three days per week, preferably Tuesday through Thursday.
At Edward Jones, we are committed to creating an inclusive environment where everyone feels they belong. We take pride in our associates' contributions and the recognition we have received.
