Compliance Counsel I - Investment Advisory

Edward Jones

11d•Hybrid

About The Position

In this role, you will partner with numerous internal business areas throughout the firm to support the continued growth of Edward Jones's 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 over 5 million accounts totaling more than $1 trillion 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.

Requirements

Requires J.D. and license that is active and in good standing
At least 3 years required, 5 years preferred of legal and/or compliance experience required in the securities (or other highly regulated) industry, private practice, public sector, or in-house counsel capacity.
Knowledge of federal and state securities laws relevant to investment advisers and retail investment advisory offerings.
Excellent problem-solving, verbal, and written communication skills
Strong leadership and interpersonal skills, with an ability to develop meaningful partnerships at all levels within the organization
Demonstrated ability to influence decision makers across the organization
Adept at analyzing and creatively solving ambiguous matters that are often complex
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

Nice To Haves

Previous involvement in significant projects and initiatives preferred.

Responsibilities

Under general supervision, use seasoned judgment to provide advice and guidance on strategic initiatives to a diverse group of stakeholders across the firm regarding a wide range of compliance, regulatory, and business matters to ensure the firm meets its obligations to clients and regulators
Uses sound professional judgement to design, oversee, and enhance the firm's investment advisory compliance program to prevent, detect, and promptly address compliance matters
Effectively partner with stakeholders 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.
Interpret and develop specialized depth and breadth of expertise in laws, rules, and regulations impacting investment advisory offerings, including the Investment Advisers Act
Oversee and provide guidance to 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.
Coordinate and conduct assessments of policies, procedures, and controls
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)
Conduct due diligence of third-party service providers to the firm's investment advisory business.
Conduct 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