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Edward Jones · 3 months ago

Senior Director, Compliance & Legal Risk Management

Missouri, St. Louis

Full-time

Hybrid

Mid, Senior Level

6+ years exp

Edward Jones is a financial services firm that values contributions from its associates. The Senior Director of Compliance and Legal Risk Management is responsible for developing and overseeing compliance policies, regulatory initiatives, and risk management strategies to safeguard the organization's integrity and reputation.

AdviceConsultingFinanceFinancial ServicesInsuranceWealth Management

Responsibilities

Lead the design and execution of an integrated risk management framework to proactively identify, assess, mitigate, and monitor compliance risks across the organization

Monitor evolving regulatory requirements and implement initiatives to ensure the organization maintains full compliance with applicable laws and standards

Create and update enterprise-wide compliance policies that reflect current regulations and best practices

Champion ethical behavior, transparency, and accountability through leadership and alignment with organizational values

Develop and deliver targeted training programs to equip staff with the knowledge and tools to uphold compliance responsibilities confidently and competently

Partner with legal, risk audit, business units, HR, and senior leadership to embed compliance into core operations and strategic initiatives

Lead, mentor, and develop compliance associates to ensure high performance, strategic alignment, and professional growth

Analyze and report on material internal and external events with impacts to clients, markets or the firm for lessons learned to proactively enhance our controls framework

Develop key metrics and dashboards to measure compliance effectiveness and report regularly

Drive transformation efforts to modernize compliance programs, leveraging technology and innovation to increase agility and effectiveness

Qualification

Compliance Risk ManagementRegulatory CompliancePolicy ManagementTraining DevelopmentProject ManagementStrategic ThinkingProblem SolvingEffective CommunicationCollaboration