Compliance Counsel II, Firm Program Support
Company: EDWARD JONES
Location: Saint Louis
Posted on: May 15, 2022
|
|
Job 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 15,000 branch offices where our
more than 7 million clients live and work. In a typical branch
office, a financial advisor meets with clients and receives branch
office support, so they can focus on building deep relationships
with clients. Headquarters associates in St. Louis, Tempe and
Mississauga provide support and expertise to help U.S. and Canada
branch teams deliver an ideal client experience. We continue to
grow to meet the needs of long-term individual investors. Firm
Program Support is responsible for assisting in the creation,
development and implementation of strategic initiatives of the
firm. Associates in this area collaborate closely with and provide
regulatory and compliance guidance to associates and leaders across
the firm. This area is also responsible for maintenance and
implementation of the firm's Conflicts of Interest Framework. Key
Responsibilities: --- Partner closely with internal business areas
to provide timely advice and guidance to ensure strategic
initiatives and the firm's conflict management processes are
compliant with applicable laws, regulations, and internal policies
and procedures --- Remain informed of new and existing regulations
and evaluate potential impacts to the firm --- Identify firm-level
trends and patterns that may be of concern and work with the
business areas to implement corrective solutions --- Represent the
Compliance Division on cross-divisional strategies and projects
which requires an in-depth knowledge of industry processes and
procedures as well as project management skills --- Investigate
process gaps and negative findings discovered through oversight
reviews and/or regulatory inquiries, identify corrective measures
and monitor remediation of findings --- Integrate regulatory and
compliance requirements into all procedures, processes, products,
services and systems --- Draft and maintain disclosures and
agreements and assist in creating training content, education
materials and communications related to the firm's business
practices and potential conflicts of interest Depending on
experience and qualifications, this role may be filled as a
Compliance Counsel I or a Compliance Counsel II LI-Remote ---
Doctor of Jurisprudence (JD) --- State bar admission --- Minimum 5
years of legal experience required --- Series 7, 66, and 24 must be
obtained within 12 months of hire if not already held ---
Securities industry experience preferred --- Ability to interpret
existing and emerging regulation and identify its impact on firm
procedures --- Conflict management, problem solving and independent
decision making skills --- Strong interpersonal skills, due to
frequent communication with multiple areas and senior leaders of
the firm --- Highly motivated self-starter and team player ---
Strong academic background with superior writing, oral
communication and problem-solving skills 2021 FORTUNE 100 Best
Companies to Work For-- By Great Place to Work-- and FORTUNE
Magazine --- Edward Jones was named No. 20 on the list. From
FORTUNE --2021 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. 2021 Corporate Equality Index --- Edward Jones
joins the ranks of 767 major U.S. businesses that received top
marks in the Foundation---s 19th annual scorecard on LGBTQ
workplace equality. From The Human Rights Campaign. All Rights
Reserved 2021 Training Top 100 list - Edward Jones ranked No. 19,
up six spots from last year in its 21st consecutive year on this
prestigious list. J.D. Power, 2021 --- Edward Jones has ranked
"highest in Employee Advisor Satisfaction among Financial
Investment Firms" in the J.D. Power 2021 U.S. Financial Advisor
Satisfaction Study. Edward Jones received the highest score among
employee advisors in the J.D. Power 2007,2008, 2010, 2012-2015,
2017-2021 Financial Advisor Satisfaction Studies of employee
advisors--- satisfaction among those who are employed by an
investment services firm. Visit jdpower.com/awards for more
information. 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. At Edward Jones,
we value and respect our associates and their contributions, and we
recognize individual efforts through a rewards program that
promotes a long-term career, financial security and well-being.
Visit our career site to learn more about our total compensation
approach, which in addition to base salary, typically includes
benefits, bonuses and profit sharing. The salary range for this
role is based on national data and actual pay is based on skills,
experience, education, and other relevant factors for a potential
new associate: Salary: $128299 - $218456 Category: Headquarters
Keywords: EDWARD JONES, St. Louis , Compliance Counsel II, Firm Program Support, Legal , Saint Louis, Missouri
Click
here to apply!
|