Assoc General Counsel III, LGL
Edward Jones
AGC III – Disclosure and Securities
The AGC III, Disclosure and Securities will lead a variety of complex legal matters involving securities law, SEC reporting and disclosure, corporate governance, partnership structures, and strategic firm initiatives. This individual will partner closely with attorneys, senior business leaders, and stakeholders across the firm to provide practical, business-focused legal advice in a dynamic regulatory environment.
This attorney will serve as a trusted advisor and key source of influence, leveraging securities law and disclosure expertise to manage legal and regulatory risk, support executive decision-making, and lead significant legal workstreams from issue identification through implementation. Success in this role requires strong technical expertise, sound judgment, stakeholder influence, and the ability to independently manage complex matters and competing priorities.
Qualifications
The Associate General Counsel III – Disclosure and Securities should possess:
- Deep knowledge of federal and state securities laws, SEC reporting requirements, disclosure practices, and governance matters applicable to SEC filers.
- Experience with corporate governance, subsidiary governance, entity management, partnership governance, partnership agreements, and registered and exempt securities offerings.
- Familiarity with regulatory issues affecting the financial services industry, including SEC, FINRA, and state securities regulators.
- Demonstrated ability to independently analyze legal risks, develop recommendations, and provide practical legal advice that balances business objectives and risk management.
- Strong executive presence, communication, stakeholder management, and relationship-building skills.
- Experience leading complex legal projects and coordinating work across multiple functions, stakeholders, and deadlines.
- Strong judgment, critical thinking, and problem-solving abilities, including the ability to adapt advice as facts, risks, and circumstances evolve.
- Experience working with sophisticated outside counsel while maintaining ownership of legal analysis and recommendations.
- Ability to manage a large and diverse workload in a fast-paced environment while maintaining a high standard of quality, organization, and attention to detail.
- Demonstrated ability to operate independently while effectively collaborating across the firm.
Responsibilities
The attorney will:
- Lead legal support for the firm's SEC reporting and disclosure processes, including review and advice regarding Forms 10-K, 10-Q, 8-K, 17-H, Form 3, Form 13-H, and other required filings and disclosures.
- Advise on securities law developments, disclosure obligations, governance matters, and emerging regulatory requirements.
- Partner closely with Reputation Management and communications teams to support internal and external communications related to financial information, partnership offerings, and other strategic initiatives.
- Provide legal support for Disclosure Committee and other governance forums, executive leadership, and key stakeholders on disclosure and governance matters.
- Advise on the firm's ownership structure, partnership governance, registered and exempt partnership interest offerings, and related communications and disclosures.
- Partner with Finance, External Reporting, Reputation Management, Risk, Compliance, Digital, and business teams to identify issues, assess risk, and develop practical solutions.
- Lead complex projects involving securities law, governance, ownership structures, and regulatory matters, including coordination with outside counsel, auditors, regulators, and internal stakeholders.
- Develop and communicate clear legal positions and recommendations that balance legal, regulatory, operational, and business considerations.
- Build strong stakeholder relationships and serve as a trusted advisor who delivers practical, timely, and business-focused counsel.