Compliance Counsel - Funds Compliance
Company: EDWARD JONES
Posted on: May 15, 2022
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.Edward Jones is seeking a Compliance Counsel to support
the growth of its affiliated mutual fund complexes.
This position performs critical functions including providing
regulatory advice and guidance to Firm management, conducting
periodic diligence on sub-advisers, product partners and service
providers, developing and maintaining policies and procedures,
facilitating regulatory examinations, and performing compliance
testing across the Firm.
- Partner with applicable business areas and outside service
providers to provide timely advice and guidance regarding
compliance with federal and state securities laws and regulations
and internal policies and procedures.
- Administer compliance program - conduct periodic oversight
reviews of compliance policies and procedures pursuant to Rule
38a-1 of the Investment Company Act and Rule 206(4)-7 of the
Investment Advisers Act and provide written documentation of the
- Conduct the review and on-going oversight of sub-advisers and
mutual fund third-party service providers.
- Review prospectuses, SAI, periodic reporting, advertising, and
- Develop and update compliance policies and procedures.
- Provide ongoing compliance support to the funds and the
- Facilitate regulatory examinations of the firm's Fund and
The Compliance Counsel could be based at our HQ office in St.
Louis, Tempe, be remote or have a hybrid arrangement.
- Requires J.D. and license to practice law in state of Missouri
or an equivalent state
- Series 7, 66, and 24 licenses are required to be obtained in
the first year of employment
- Minimum of 3 years of experience as an attorney, preferably
related to securities work
- Ability to interpret regulations and apply to due diligence,
oversight, and development and review of policies and
- Strong leadership and interpersonal skills are essential.
- Resolve complex issues through interpretation and application
of industry regulations and firm business practices
- Possess strong verbal and written communication skills
- Should have knowledge of securities and/or corporate law. A
background in litigation and general knowledge of financial
- 2021 FORTUNE 100 Best Companies to Work For - By Great Place to
Work - and FORTUNE Magazine - Edward Jones was named No. 20 on the
- 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
- 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: $106916 - $182047
Keywords: EDWARD JONES, Springfield , Compliance Counsel - Funds Compliance, Legal , Springfield, Missouri
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