Edward Jones · 5 hours ago
Compliance Counsel l
Tempe, AZ
Full-time
Hybrid
Mid Level
$120K/yr - $204K/yr
3+ years expEdward Jones is a Fortune 500 financial services firm dedicated to serving clients and fostering growth. The Compliance Counsel I role involves supporting the advisory compliance program and ensuring adherence to regulatory requirements while collaborating with various stakeholders across the organization.
AdviceConsultingFinanceFinancial ServicesInsuranceWealth Management
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
Qualification
Required
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
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
Preferred
A background in financial services and general knowledge of financial services is preferred
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
Benefits
Medical and prescription drug
Dental
Vision
Voluntary benefits (such as accident, hospital indemnity, and critical illness)
Short- and long-term disability
Basic life
Basic AD&D coverage
401k retirement plan
Tax-advantaged accounts: health savings account, and flexible spending account
Ten paid holidays
15 days of vacation for new associates beginning on January 1 of each year
Sick time
Personal days
Paid day for volunteerism
Bonuses and profit sharing
Employee Assistance Program
Company
Edward Jones
Edward Jones provides personalized investment advisory, brokerage, and management services.
10001+ employees
Funding
Current Stage
Late StageTotal Funding
$445.94M2025-09-25Undisclosed· $52.12M
2025-01-14Undisclosed· $56.31M
2024-04-11Undisclosed· $10.6M
Leadership Team
Dave Scheffer
Director of Operations
Dr. Laura Lurati
Director of Data Science
Recent News
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