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Compliance Counsel - Funds Compliance

Location: Springfield
Posted on: May 15, 2022

Job Description:

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.

Key Responsibilities:

  • 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 results.
  • Conduct the review and on-going oversight of sub-advisers and mutual fund third-party service providers.
  • Review prospectuses, SAI, periodic reporting, advertising, and other disclosures.
  • Develop and update compliance policies and procedures.
  • Provide ongoing compliance support to the funds and the adviser.
  • Facilitate regulatory examinations of the firm's Fund and Adviser affiliates.
    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 procedures.
    • 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 services preferred.
      • 2021 FORTUNE 100 Best Companies to Work For - By Great Place to Work - and FORTUNE Magazine - Edward Jones was named No. 20 on the list.
        • 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 prestigious list.
          • 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
              Category: Headquarters

Keywords: EDWARD JONES, Springfield , Compliance Counsel - Funds Compliance, Legal , Springfield, Missouri

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