Regulatory Compliance Expert, Strategic Advisor

4 days ago


St Louis, Missouri, United States Edward Jones Full time
Job Description

We are seeking a highly skilled Regulatory Compliance Expert to join our team. As a key member of our compliance department, you will be responsible for maintaining and evolving our compliance program with a growth and adaptability mindset.

About the Role

This is an exciting opportunity to operate with a high degree of independence and partner with numerous internal business areas throughout the firm to support the continued growth of Edward Jones and our commitment to helping serious, long-term investors achieve their financial goals.

Key Responsibilities
  • Collaborate with senior executives, business areas, and service providers to ensure compliance with federal and state securities laws and regulations, and internal policies and procedures.
  • Maintain and enhance the firm's compliance programs to prevent, detect, and promptly address compliance matters that are materially impactful to the firm and its affiliates.
  • Effectively communicate with leaders and senior executives in investigating and resolving complex and ambiguous compliance, regulatory, and business issues.
Requirements

To succeed in this role, you will need:

  • A J.D. and active license in good standing.
  • No less than 5 years, preferably 7 years, of legal and/or compliance experience with deep subject matter expertise of federal and state securities laws.
  • Excellent problem-solving, verbal, and written communication skills.
  • Demonstrated ability to autonomously influence decision makers at all levels within the organization.
  • Leadership and interpersonal skills, with an ability to develop meaningful partnerships at all levels within the organization.
What We Offer

In return for your expertise and dedication, we offer a competitive salary and benefits package, including medical and prescription drug, dental, vision, voluntary benefits, short- and long-term disability, basic life, and basic AD&D coverage. You will also have access to professional development opportunities and a collaborative work environment.

The estimated annual salary range for this position is between $136,571 and $232,541, depending on location and level of experience.



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