144 applicants

Company

Original Job Post

Edward Jones · 2 days ago

Investment Advisory Compliance Counsel

United States

Full-time

Remote

Senior Level

$114K/yr - $194K/yr

3+ years exp

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Responsibilities

Provide wide-ranging compliance advice and guidance to areas that support the firm's advisory business to maintain and continually evolve the adviser's compliance program

Engage in significant enterprise-level initiatives involving the firm's retail advisory offerings

Influence and guide the adviser's compliance, regulatory, and business initiatives by recommending innovative solutions and best practices that benefit clients, branch teams and the firm

Investigate and timely resolve compliance issues, including those that are complex and ambiguous, and respond to questions from internal stakeholders throughout the organization

Interpret laws, rules and regulations affecting the operation of the organization and develop specialized depth and breadth of expertise involving a wide variety of investment advisory matters

Coordinate and conduct assessments of internal policies, procedures and controls

Oversight: (a) the operation of various departments to ensure compliance with relevant regulatory requirements, including laws, rules and regulations; and, (b) the design, implementation and operation of the adviser's overall compliance program

Aid in conducting the adviser's annual compliance review

Assist in the preparation of the adviser's regulatory disclosures (e.g. Form ADV) as well as certain regulatory filings and responses

May independently conduct due diligence and ongoing oversight of third-party service providers

Accountability for the performance and results of some functions within the Investment Advisory Compliance department's scope of work

Qualification

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Legal ComplianceSecurities Industry KnowledgePartnership DevelopmentOperations ManagementInvestment AdvisoryRisk ManagementProblem-SolvingAnalytical ThinkingCreativityAdaptabilityCollaborationContinuous LearningOrganizational SkillsInterpersonal SkillsJudgmentWork EthicThought LeadershipIntegrityInvestment Advisers ActSecurities LawsSeries 7Series 66Series 24Project ManagementLicensingInitiativeCommunication

Required

J.D. and license to practice law that is active and in good standing

At least 3 years of legal and/or compliance experience required, preferably in the securities (or other highly regulated) industry

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

Ability to develop strong and meaningful networks and partnerships at all levels and in a wide variety of areas in Compliance and across the organization (e.g. Operations, Investment Advisory Platform Management, Legal and Risk)

Highly organized, collaborative, adaptable to change and excited to continually learn in a dynamic organization

Superb writing, verbal and interpersonal skills

Exceptional judgment, strong work ethic, thought leadership and unwavering integrity

Preferred

Knowledge of the Investment Advisers Act of 1940, federal and state securities laws, and the investment advisory business preferred but not required

Previous involvement in significant projects and initiatives preferred

Active Series 7, 66 and 24 licenses preferred. Although not required for the position, you will be asked to obtain these licenses if not already held.

Candidates that live within in a commutable distance from our Tempe, AZ and St. Louis, MO home office locations are expected to work in the office three days per week, with preference for Tuesday through Thursday.