Associate General Counsel III - Regulatory at Edward Jones
St. Louis, MO
About the Job
Want a meaningful career where you can make a difference? Edward Jones sounds perfect for you.
Collaboration. Autonomy. Opportunity. Words our headquarters associates use when talking about working at Edward Jones. Words that describe what it's like being part of a firm where everyone is aligned toward a singular focus: serving the client. And everyone is working to make the firm better together - as they grow as individuals. If these words resonate with you, we should talk.
Job Overview
Position Schedule: Full-Time
Our Legal Division is expanding to enhance solutions for millions of clients and their families. We are looking for an experienced attorney and subject matter expert to partner with business leaders across the firm to provide strategic legal support and ensure the firm is meeting its legal and regulatory obligations while successfully executing the firm's most important initiatives.
This position includes working with business leaders to develop solutions that serve our clients' best interests and deliver an exceptional experience for our branch teams, clients, and the firm. The work is dynamic and requires the ability to look beyond the specific legal questions to understand the goals of the business and aid in getting to the best solution. This opportunity will afford the successful candidate the opportunity to be a part of a culture that inspires and supports the individual and allows them to be part of a team focused on delivering solutions.
Candidates should be highly motivated and knowledgeable about the industry and the firm and have a subject matter expertise in financial services regulation. The position requires strong collaboration, an aptitude for continual learning, demonstration of intellectual curiosity by asking questions and connecting work across multiple initiatives, ability to identify and mitigate risks in new and evolving areas of law, and an ability to influence firm leaders. Candidates must have outstanding written and oral communication skills.
What You Will Do:
Edward Jones' compensation and benefits package includes medical and prescription drug, dental, vision, voluntary benefits (such as accident, hospital indemnity, and critical illness), short- and long-term disability, basic life, and basic AD&D coverage. Short- and long-term disability, basic life, and basic AD&D coverage are provided at no cost to associates. Edward Jones offers a 401k retirement plan, and tax-advantaged accounts: health savings account, and flexible spending account. Edward Jones observes ten paid holidays and provides 15 days of vacation for new associates beginning on January 1 of each year, as well as sick time, personal days, and a paid day for volunteerism. Associates may be eligible for bonuses and profit sharing. All associates are eligible for the firm's Employee Assistance Program. For more information on the Benefits available to Edward Jones associates, please visit our benefits page.
Hiring Minimum: $168500
Hiring Maximum: $286900
Qualified applicants with arrest or conviction records will be considered for employment in accordance with the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act. Edward Jones is prohibited from hiring individuals with certain specified criminal history as set forth in Section 3(a)(39) and 15(b)(4) and Rule 17a-3(a)(12) of the Securities and Exchange Act of 1934, and conducts background reviews consistent with FINRA Rule 3110(e). A copy of a notice regarding the provisions of the Los Angeles County Fair Chance Ordinance is available at: dcba.lacounty.gov/wp-content/uploads/2024/08/FCOE-Official-Notice-Eng-Final-8.30.2024.pdf.
Read More About Job Overview
Skills/Requirements
What Experience You Need:
Read More About Skills/Requirements
Awards & Accolades
At Edward Jones, we are building a place where everyone feels like they belong. We're proud of our associates' contributions to the firm and the recognitions we have received.
Check out our U.S. awards and accolades: Insights & Information Blog Postings about Edward Jones
Check out our Canadian awards and accolades: Insights & Information Blog Postings about Edward Jones
Read More About Awards & Accolades
About Us
Join a financial services firm where your contributions are valued. Edward Jones is a Fortune 5001 company where people come first. With over 8 million clients and 19,000 financial advisors across the U.S. and Canada, we're proud to be privately-owned, placing the focus on our clients rather than shareholder returns.
Behind everything we do is our purpose: We partner for positive impact to improve the lives of our clients and colleagues, and together, better our communities and society. We are an innovative, flexible, and inclusive organization that attracts, develops, and inspires performance excellence and a sense of belonging.
People are at the center of our partnership. Edward Jones associates are seen, heard, respected, and supported. This is what we believe makes us the best place to start or build your career.
View our Purpose, Inclusion and Citizenship Report.
1Fortune 500, published June 2023, data as of December 2022. Compensation provided for using, not obtaining, the rating.
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.
#LI-HO
Collaboration. Autonomy. Opportunity. Words our headquarters associates use when talking about working at Edward Jones. Words that describe what it's like being part of a firm where everyone is aligned toward a singular focus: serving the client. And everyone is working to make the firm better together - as they grow as individuals. If these words resonate with you, we should talk.
Job Overview
Position Schedule: Full-Time
Our Legal Division is expanding to enhance solutions for millions of clients and their families. We are looking for an experienced attorney and subject matter expert to partner with business leaders across the firm to provide strategic legal support and ensure the firm is meeting its legal and regulatory obligations while successfully executing the firm's most important initiatives.
This position includes working with business leaders to develop solutions that serve our clients' best interests and deliver an exceptional experience for our branch teams, clients, and the firm. The work is dynamic and requires the ability to look beyond the specific legal questions to understand the goals of the business and aid in getting to the best solution. This opportunity will afford the successful candidate the opportunity to be a part of a culture that inspires and supports the individual and allows them to be part of a team focused on delivering solutions.
Candidates should be highly motivated and knowledgeable about the industry and the firm and have a subject matter expertise in financial services regulation. The position requires strong collaboration, an aptitude for continual learning, demonstration of intellectual curiosity by asking questions and connecting work across multiple initiatives, ability to identify and mitigate risks in new and evolving areas of law, and an ability to influence firm leaders. Candidates must have outstanding written and oral communication skills.
What You Will Do:
- Provide legal advice and guidance to legal, compliance, and business colleagues involving broker-dealer rules and regulations under the federal securities laws, including the Securities Act of 1933, the Exchange Act of 1934, and the Investment Advisers Act of 1940
- Partner closely with legal teams in advising the business in new business development
- Serve as a subject matter expert on legal regulatory issues, including broker-dealer regulation, with a focus on compliance with securities laws, rules, and regulations, including broker-dealer conduct rules, Regulation Best Interest, reporting and disclosure obligations, trading regulations, and corporate governance requirements.
- Assist in monitoring, researching, reviewing, and analyzing new federal and state laws and regulations and industry trends and educate and advise legal, compliance, and business partners on the same
- Assist as needed in representing Edward Jones in responding to inquiries and examinations from various securities regulators, including FINRA, the SEC, and State securities agencies
- Deepen the firm's relationships and credibility with its various securities regulators at the Federal, state, and SRO levels
- Identify new and proposed laws and regulations affecting the financial services industry and partner with government relations and policy colleagues to assess potential impact to the firm
- Conduct and manage internal reviews and investigations relating to securities rules and regulations
- Assist the firm in managing regulatory risk including through development and enhancement of policies and procedures to mitigate that risk
- Identify, actively supervise, and guide outside counsel when needed for regulatory matters
- Act independently with sound judgment on escalation
- Communicate effectively with other attorneys, professionals, associates, and leaders, and successfully integrate into and across the firm by becoming a valued business partner
Edward Jones' compensation and benefits package includes medical and prescription drug, dental, vision, voluntary benefits (such as accident, hospital indemnity, and critical illness), short- and long-term disability, basic life, and basic AD&D coverage. Short- and long-term disability, basic life, and basic AD&D coverage are provided at no cost to associates. Edward Jones offers a 401k retirement plan, and tax-advantaged accounts: health savings account, and flexible spending account. Edward Jones observes ten paid holidays and provides 15 days of vacation for new associates beginning on January 1 of each year, as well as sick time, personal days, and a paid day for volunteerism. Associates may be eligible for bonuses and profit sharing. All associates are eligible for the firm's Employee Assistance Program. For more information on the Benefits available to Edward Jones associates, please visit our benefits page.
Hiring Minimum: $168500
Hiring Maximum: $286900
Qualified applicants with arrest or conviction records will be considered for employment in accordance with the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act. Edward Jones is prohibited from hiring individuals with certain specified criminal history as set forth in Section 3(a)(39) and 15(b)(4) and Rule 17a-3(a)(12) of the Securities and Exchange Act of 1934, and conducts background reviews consistent with FINRA Rule 3110(e). A copy of a notice regarding the provisions of the Los Angeles County Fair Chance Ordinance is available at: dcba.lacounty.gov/wp-content/uploads/2024/08/FCOE-Official-Notice-Eng-Final-8.30.2024.pdf.
Read More About Job Overview
Skills/Requirements
What Experience You Need:
- Strong preference for prior regulatory experience working at FINRA, SEC, or a State securities agency
- Requires J.D. (or foreign equivalent) with license to practice in at least one U.S. state bar
- Minimum of 10 years of progressive responsibility as an attorney working in house at a securities broker dealer or investment advisory; law firm; or regulatory body.
- Advanced knowledge of federal securities laws and rules, and the ability to interpret regulations and regulatory guidance
- Exceptional ability to collaborate across legal, compliance, and business lines
- Exceptional legal knowledge, judgment, work ethic, and integrity
- Demonstrated ability to analyze and resolve multiple, complex matters
- Excellent verbal and written communication skills, including advocacy skills
Read More About Skills/Requirements
Awards & Accolades
At Edward Jones, we are building a place where everyone feels like they belong. We're proud of our associates' contributions to the firm and the recognitions we have received.
Check out our U.S. awards and accolades: Insights & Information Blog Postings about Edward Jones
Check out our Canadian awards and accolades: Insights & Information Blog Postings about Edward Jones
Read More About Awards & Accolades
About Us
Join a financial services firm where your contributions are valued. Edward Jones is a Fortune 5001 company where people come first. With over 8 million clients and 19,000 financial advisors across the U.S. and Canada, we're proud to be privately-owned, placing the focus on our clients rather than shareholder returns.
Behind everything we do is our purpose: We partner for positive impact to improve the lives of our clients and colleagues, and together, better our communities and society. We are an innovative, flexible, and inclusive organization that attracts, develops, and inspires performance excellence and a sense of belonging.
People are at the center of our partnership. Edward Jones associates are seen, heard, respected, and supported. This is what we believe makes us the best place to start or build your career.
View our Purpose, Inclusion and Citizenship Report.
1Fortune 500, published June 2023, data as of December 2022. Compensation provided for using, not obtaining, the rating.
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.
#LI-HO