Compliance Counsel II, Firm Program Support

Company: EDWARD JONES
Location: Warrensburg
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, Independence , Compliance Counsel II, Firm Program Support, Legal , Warrensburg, Missouri