Edward Jones · 9 hours ago

Compliance Counsel II, CMPL

United States

Full-time

Remote

Mid, Senior Level

$137K/yr - $233K/yr

5+ years exp

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Responsibilities

With significant autonomy, use seasoned judgment to provide advice and guidance on prominent and complex strategic initiatives to a diverse group of stakeholders, including senior executives, regarding a wide range of compliance, regulatory, and business matters to ensure the firm meets its obligations to clients and regulators

Assist in the design, oversight, and enhancement of the firm's compliance programs that prevent, detect, and promptly address compliance matters that are materially impactful to the firm and its affiliates

Effectively partner and communicate with leaders and senior executives in investigating and resolving complex and ambiguous compliance, regulatory, and business issues

Partner with business areas and service providers to ensure compliance with federal and state securities laws and regulations and internal policies and procedures, and communicate effectively with other compliance professionals, attorneys, associates and leaders

Demonstrate significant knowledge of laws, rules, and regulations including FINRA, SEC, and Investment Advisers Act

Oversee and provide guidance to leadership of 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

Lead assessments of policies, procedures, and controls

Review and occasionally assist in the preparation of regulatory acknowledgements, disclosures, filings, responses, marketing, education, and training materials.

Oversee due diligence of the firm's third-party service providers.

Conduct or lead periodic regulatory reviews of the firm's business.

Assist in the onboarding and mentorship of new associates

Advise pertinent stakeholders on regulatory actions, including enforcement inquiries and examinations, as necessary

Qualification

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Compliance experienceFederal securities lawsState securities lawsFINRA regulationsSEC regulationsInvestment Advisers ActInvestment Company ActDOL regulationsERISA complianceSIE examSeries 7 licenseSeries 66 licenseSeries 24 licenseMentoring associates

Required

Requires J.D. and license that is active and in good standing

At least 5 years required of legal and/or compliance experience with deep subject matter expertise of federal and state securities laws which may include: Securities Act of 1933 & 1934, FINRA, SEC, Investment Advisers Act of 1940, Investment Company Act of 1940, MSRB, NAIC, DOL, and/or ERISA.

Requires excellent problem-solving, verbal, and written communication skills

Exemplify leadership and interpersonal skills, with an ability to develop meaningful partnerships at all levels within the organization

Demonstrated ability to autonomously influence decision makers at all levels the organization

Capable of: (a) successfully leading projects; (b) overseeing complex situations requiring compliance support and guidance; (c) reviewing work of associates; and, (d) training and mentoring associates

Adept at analyzing and creatively solving ambiguous matters that are often complex

Previous involvement in significant projects and initiatives, including those with senior stakeholders

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

SIE exam (if applicable), Series 7, 66 and 24 licenses must be obtained within 12 months of hire if not already held