Key Responsibilities

• Under general supervision, uses 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, legal, 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 compliance programs that prevent, detect, and promptly address compliance matters.
• Effectively partners with stakeholders in investigating and resolving complex and ambiguous compliance, regulatory, legal, and business issues.
• Partners with business areas and service providers to ensure compliance with federal and state securities laws and regulations and internal policies and procedures, and communicates effectively with other compliance professionals, attorneys, associates, and leaders.
• Interpret laws, rules and regulations affecting the operation of the organization and develop specialized depth and breadth of expertise involving the Investment Advisers Act of 1940 and related regulations.
• 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 compliance program.
• Coordinate and conduct assessments of policies, procedures, and controls.
• Assist in the preparation of regulatory acknowledgements, disclosures, filings, responses, marketing, education, and training materials, for example Form ADV Parts 1A, 2A, 2B, and 3, the Annual and Semi-Annual Regulatory Mailers, and other materials as needed.
• Conduct due diligence of the firms third party service providers, such as subadvisers to our UMA program
• Conduct periodic regulatory reviews of the firm's advisory business.

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.

• Requires J.D. and license that is active and in good standing
• At least 3 years of legal and/or compliance experience required in the securities (or other highly regulated) industry, private practice, public sector, or in-house counsel capacity. A background in financial services and general knowledge of financial services is preferred
• 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.
• Requires 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
• Knowledge of federal and state securities laws preferred. Including: Securities Act of 1933 & 1934, FINRA, SEC, Investment Advisers Act of 1940, Investment Company Act of 1940, MSRB, NAIC, DOL, and/or ERISA.
• Previous involvement in significant projects and initiatives preferred