Compliance Counsel I - Investment Advisory
Edward Jones
In this role, you will partner with numerous internal business areas throughout the firm to support the continued growth of Edward Jones's investment advisory business and our commitment to helping serious, long-term investors achieve their financial goals. Your primary responsibilities will focus on maintaining and continually evolving our compliance program for a suite of discretionary and client-directed fee-based advisory offerings currently comprised of over 5 million accounts totaling more than $1 trillion in assets. You will also be responsible for prioritizing numerous complex efforts simultaneously, while creating innovative approaches to successfully achieve optimal solutions for our clients, regulators, and stakeholders. Additionally, you need a growth and adaptability mindset, strong collaboration skills, and the ability to foster meaningful and deep relationships across the organization.What You Will Do:
- Under general supervision, use 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, 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 investment advisory compliance program to prevent, detect, and promptly address compliance matters
- Effectively partner with stakeholders in investigating and resolving complex and ambiguous compliance, regulatory, and other issues involving the firm's investment advisory business
- Partner with business areas and service providers to ensure compliance with federal and state securities laws and regulations and internal policies and procedures relevant to the firm's investment advisory business.
- Communicate effectively with other compliance professionals, attorneys, associates and leaders.
- Interpret and develop specialized depth and breadth of expertise in laws, rules, and regulations impacting investment advisory offerings, including the Investment Advisers Act
- 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 firm's investment advisory compliance program.
- Coordinate and conduct assessments of policies, procedures, and controls
- Assist in the preparation of regulatory acknowledgements, disclosures, filings, agreements, responses, marketing, education, and training materials (e.g. Form ADV Parts 1, 2A, 2B, and 3; Form N-PX; advisory client service agreements)
- Conduct due diligence of third-party service providers to the firm's investment advisory business.
- Conduct periodic regulatory reviews of the firm's business, namely the Edward Jones Annual Compliance Review pursuant to Rule 206(4)-7 of the Investment Advisers Act of 1940