Senior Compliance Counsel – Investment Advisory Compliance

Job title: Senior Compliance Counsel – Investment Advisory Compliance

Company: Edward Jones


Job description: Want a meaningful career where you can make a difference? Edward Jones sounds perfect for you.Collaboration. Autonomy. Opportunity. Words our headquarters associates use when talking about working at Edward Jones. Words that describe what it’s like being part of a firm where everyone is aligned toward a singular focus: serving the client. And everyone is working to make the firm better together – as they grow as individuals. If these words resonate with you, we should talk.Job OverviewPosition Schedule: Home OfficeSenior Compliance Counsel – Investment Advisory ComplianceIn this role, you will 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’ investment advisory business and our commitment to helping serious, long-term investors achieve their financial goals. Your primary responsibilities will focus on maintaining and continually evolving our compliance program for a suite of discretionary and client-directed fee-based advisory offerings currently comprised of 5+ million accounts totaling more than $830 billion in assets. You will also be responsible for prioritizing numerous complex efforts simultaneously, while creating innovative approaches to successfully achieve optimal solutions for our clients, regulators, and stakeholders. Additionally, you need a growth and adaptability mindset, strong collaboration skills, and the ability to foster meaningful and deep relationships across the organization. As Senior Compliance Counsel, you will need to demonstrate leadership behaviors and achieve results through others.Key Responsibilities

• With significant autonomy, use seasoned judgment to provide advice and guidance on prominent and complex strategic initiatives to a diverse group of stakeholders, including senior executives, regarding a wide range of compliance, regulatory, and business matters to ensure the firm meets its obligations to clients and regulators
• Assist in the design, oversight, and enhancement of the firm’s investment advisory compliance program to prevent, detect, and promptly address compliance matters that are materially impactful to the firm and its affiliates
• Effectively partner and communicate with leaders and senior executives in investigating and resolving complex and ambiguous compliance, regulatory, and other issues involving the firm’s investment advisory business
• Partner with business areas and service providers to ensure compliance with federal and state securities laws and regulations and internal policies and procedures relevant to the firm’s investment advisory business
• Communicate effectively with other compliance professionals, attorneys, associates and leaders
• Demonstrate significant knowledge of laws, rules, and regulations impacting investment advisory offerings, including, but not limited to, the Investment Advisers Act
• Oversee and provide guidance to leadership of various departments on: (a) compliance with relevant regulatory requirements, including laws, rules, and regulations; and, (b) the design, implementation and operation of the firm’s investment advisory compliance program
• Lead assessments of policies, procedures, and controls
• Review and occasionally assist in the preparation of regulatory acknowledgements, disclosures, filings, agreements, responses, marketing, education, and training materials (e.g. Form ADV Parts 1, 2A, 2B, and 3; Form N-PX; advisory client service agreements)
• Oversee due diligence of third-party service providers to the firm’s investment advisory business
• Conduct or lead periodic regulatory reviews of the firm’s business, namely the Edward Jones Annual Compliance Review pursuant to Rule 206(4)-7 of the Investment Advisers Act of 1940
• Advise pertinent stakeholders on regulatory actions, including enforcement inquiries and examinations, as necessary
• Assist in the onboarding and mentorship of new associates

Edward Jones’ compensation and benefits package includes medical and prescription drug, dental, vision, voluntary benefits (such as accident, hospital indemnity, and critical illness), short- and long-term disability, basic life, and basic AD&D coverage. Short- and long-term disability, basic life, and basic AD&D coverage are provided at no cost to associates. Edward Jones offers a 401k retirement plan, and tax-advantaged accounts: health savings account, and flexible spending account. Edward Jones observes ten paid holidays and provides 15 days of vacation for new associates beginning on January 1 of each year, as well as sick time, personal days, and a paid day for volunteerism. Associates may be eligible for bonuses and profit sharing. All associates are eligible for the firm’s Employee Assistance Program. For more information on the Benefits available to Edward Jones associates, please visit our .Hiring Minimum: $136571
Hiring Maximum: $232541Skills/Requirements

• J.D. and license to practice law that is active and in good standing
• At least 5 years required, 7 years preferred, of legal and/or compliance experience with deep subject matter expertise of federal and state securities laws relevant to investment advisers and retail investment advisory offerings
• Excellent problem-solving, verbal, and written communication skills
• Exceptional leadership and interpersonal skills, with an ability to develop meaningful partnerships at all levels within the organization
• Demonstrated ability to autonomously influence decision makers at all levels of an organization
• Capable of: (a) successfully leading projects; (b) overseeing complex situations requiring compliance support and guidance; (c) reviewing work of associates; and, (d) training and mentoring associates
• Adept at analyzing and creatively solving ambiguous matters that are often complex
• Previous involvement in significant projects and initiatives, including those with senior stakeholders
• Highly organized, collaborative, adaptable to change and excited to continually learn in a dynamic organization
• Exceptional judgment, strong work ethic, thought leadership and unwavering integrity
• SIE exam (if applicable), Series 7 Top Off, Series 66 and Series 24 licenses must be obtained within 12 months of hire if not already held

Awards & AccoladesAt Edward Jones, we are building a place where everyone feels like they belong. We’re proud of our associates’ contributions to the firm and the recognitions we have received.Check out our U.S. awards and accolades:Check out our Canadian awards and accolades:About UsJoin a financial services firm where your contributions are valued. Edward Jones is a Fortune 500¹ company where people come first. With over 8 million clients and 19,000 financial advisors across the U.S. and Canada, we’re proud to be privately-owned, placing the focus on our clients rather than shareholder returns.Behind everything we do is our purpose: We partner for positive impact to improve the lives of our clients and colleagues, and together, better our communities and society. We are 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.View our .¹Fortune 500, published June 2023, data as of December 2022. Compensation provided for using, not obtaining, the rating.Edward Jones does not discriminate on the basis of race, color, gender, religion, national origin, age, disability, sexual orientation, pregnancy, veteran status, genetic information or any other basis prohibited by applicable law.#LI-HO

Expected salary: $136571 – 232541 per year

Location: Saint Louis, MO

Job date: Fri, 20 Dec 2024 08:26:56 GMT

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