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Compliance Counsel - Investment Advisory

Company: Edward D. Jones & Co. L.P.
Location: Saint Louis
Posted on: April 8, 2021

Job Description:

Compliance Counsel - Investment Advisory 53559BR Opportunity Overview Edward Jones is seeking a Compliance Counselor for our investment advisory area. In this role, you will partner with numerous internal business areas throughout the firm to support the continued growth of Edward Jones' retail 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 the compliance program for a suite of discretionary and client-directed fee-based advisory programs currently comprised of 3.7+ million accounts totaling more than $500 billion in assets. Additionally, you will be involved in transforming Edward Jones' advisory offerings.

The work is dynamic and requires strong collaboration, the ability to timely address numerous efforts simultaneously, flexibility and innovative approaches to successfully achieve optimal solutions for our clients, branch teams and the firm. If you exhibit those qualities, possess an aptitude for continual learning and prioritize being an instrumental partner dedicated to advancing Edward Jones' investment advisory business, we encourage you to apply.

Primary Responsibilities
--

  • Provide wide-ranging compliance advice and guidance to areas that support the firm's advisory business to maintain and continually evolve the adviser's compliance program
  • Interpret laws, rules and regulations affecting the operation of the organization and develops specialized depth and breadth of expertise involving investment advisory issues
  • Investigate and resolve compliance issues and respond to questions from internal stakeholders throughout the organization
  • Influence and guidance the adviser's compliance, regulatory, and business initiatives by recommending innovative solutions and best practices that benefit clients, branch teams and the firm
  • Coordinate and conducts assessments of internal policies, procedures and controls
  • Oversight: (a) the operation of various departments to ensure compliance with relevant regulatory requirements, including laws, rules and regulations; and, (b) the design, implementation and operation of the adviser's overall compliance program
  • Provide significant support to projects and initiatives, including the adviser's annual compliance review and the presentation of the results to senior leadership
  • May independently conduct robust due diligence and ongoing oversight of third-party service providers
  • Assist in the preparation of the adviser's regulatory filings, disclosures (e.g. Form ADV) and responses
  • Accountability for the performance and results of some functions within the Investment Advisory Compliance department's scope of work Position Requirements
    • J.D. and license to practice law that is active and in good standing
    • At least 3 years of legal and/or compliance experience required, preferably in the securities (or other highly regulated) industry
    • Knowledge of the Investment Advisers Act of 1940, federal and state securities laws, and the investment advisory business preferred but not required
    • Adept at analyzing and creatively solving ambiguous matters that are often complex
    • 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 (e.g. Operations, Investment Advisory Platform Management, Legal and Risk)
    • 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, thought leadership and unwavering integrity
    • Previous involvement in significant projects and initiatives
    • Series 7, 66 and 24 licenses must be obtained within 12 months if not already held Company Description At Edward Jones, we help clients achieve their serious, long-term financial goals by understanding their needs and implementing tailored solutions. To ensure a personal client experience, we have located our 14,000+ branch offices where our more than 7 million clients live and work.

      A typical branch office has one financial advisor who meets with clients face-to-face and one branch office administrator who enhances the team's ability to build deep relationships with clients. Headquarters associates in St. Louis and Tempe provide support and expertise to help U.S. and Canada branch teams deliver an ideal client experience. Edward Jones currently has more branch offices than any other financial services firm, and we continue to grow to meet the needs of long-term individual investors. Awards and Accolades
      • FORTUNE 2020 - Edward Jones was named No. 7 on the 2020 FORTUNE 100 Best Companies to Work For-- list.
        • From FORTUNE --2020 FORTUNE Media IP Limited. All rights reserved. Used under license. FORTUNE and FORTUNE 100 Best Companies to Work For are registered trademarks of Fortune Media IP Limited and are used under license. FORTUNE and Fortune Media IP Limited are not affiliated with, and do not endorse products or services of, Edward Jones Investments.
        • Edward Jones Ranked No. 6 of the 100 best workplaces for millennials by Great Place to Work and FORTUNE Magazine.
        • 2020 Corporate Equality Index - Edward Jones joins the ranks of 680 major U.S businesses that received top marks in the HRC Foundations 18th Annual Scorecard on LBGTQ Workplace Equality
        • Edward Jones named a top company for training, ranking No. 25 on Training magazine's 2020 Training Top 125 list - the highest ranking among the financial-services industry!
        • Financial services firm Edward Jones has been named one of the 2019 Best Workplaces for Parents by Great Place to Work and FORTUNE magazine. The firm ranked No. 5 on the list of 50 companies, up two spots from last year.
          • The Best Workplaces for Parents list is one of a series of rankings by Great Place to Work and FORTUNE based on employee feedback from Great Place to Work-Certified--- organizations. Edward Jones ranked No. 7 on the FORTUNE 100 Best Companies to Work for in 2019 list, the firm's 20th appearance on the list. The firm also was ranked the No. 1 Best Workplace in Financial Services & Insurance and the No. 6 Best Workplace for Millennials by Great Place to Work and FORTUNE. Position Schedule Full-Time Posting Location Missouri, St. Louis, Arizona, Tempe Home based Associate? No Position Type Home Office EEO Statement 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.

Keywords: Edward D. Jones & Co. L.P., St. Louis , Compliance Counsel - Investment Advisory, Legal , Saint Louis, Missouri

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