Job details
Job type full-time
Full job description
At edward jones, we help clients achieve their serious, long-term financial goals by understanding their needs and implementing tailored solutionsTo ensure a personal client experience, we have located our 14,000+ branch offices where our more than 7 million clients live and work.
A typical branch office has one financial advisor who meets with clients face-to-face and one branch office administrator who enhances the team`s ability to build deep relationships with clientsHeadquarters associates in stLouis and tempe provide support and expertise to help u.sAnd canada branch teams deliver an ideal client experienceEdward jones currently has more branch offices than any other financial services firm, and we continue to grow to meet the needs of long-term individual investorsEdward jones is seeking a compliance counselor for our capital markets and operations compliance areaIn this role, you will partner with numerous internal business areas throughout the firm to support the continued growth of edward jones` retail investment business and our commitment to helping serious, long-term investors achieve their financial goals.
Your primary responsibilities will focus on maintaining and continually evolving the compliance program for the firm`s fixed income trading areaIn addition, you will also support other operations areas of the firm.
The work is dynamic and requires strong collaboration, the ability to timely address numerous efforts simultaneously, flexibility and innovative approaches to successfully achieve optimal solutions for our clients, branch teams and the firmIf you exhibit those qualities, possess an aptitude for continual learning and prioritize being an instrumental partner, we encourage you to apply.
Primary responsibilities:
Provide wide-ranging compliance advice and guidance to the firm`s fixed income trading areas to maintain and continually evolve the compliance program
Interpret laws, rules and regulations affecting the operation of the organization and develop specialized depth and breadth of expertise involving trading and operational issues
Investigate and resolve compliance issues and respond to questions from internal stakeholders throughout the organization
Influence and guidance the compliance, regulatory, and business initiatives by recommending innovative solutions and best practices that benefit clients, branch teams and the firm
Coordinate and conduct assessments of internal policies, procedures and controls
Oversight:
(a) the operation of various departments to ensure compliance with relevant regulatory requirements, including laws, rules and regulations; and,
(b) the design, implementation and operation of the overall compliance program
Provide significant support to projects and initiatives
* this role is open to candidates working remotely or in the hq office in stLouis or tempe*
J.dAnd license to practice law that is active and in good standing
At minimum of 3 years of legal and/or compliance experience required, preferably in the securities (or other highly regulated) industry
Knowledge of the relevant finra and msrb trading rules and applicable federal and state securities laws strongly preferred but not required
Adept at analyzing and creatively solving ambiguous matters that are often complex
Ability to develop strong and meaningful networks and partnerships at all levels and in a wide variety of areas in compliance and across the organization (e.gTrading, operations, investment advisory platform management, legal and risk)
Highly organized, collaborative, adaptable to change and excited to continually learn in a dynamic organization
Superb writing, verbal and interpersonal skills
Exceptional judgment, strong work ethic, thought leadership and unwavering integrity
Previous involvement in significant regulatory projects and initiatives
Series 7, 66 and 24 licenses must be obtained within 12 months of hire
Fortune 2020 – edward jones was named no7 on the 2020 fortune 100 best companies to work for® list.
From fortune ©2020 fortune media ip limitedAll rights reservedUsed under licenseFortune and fortune 100 best companies to work for are registered trademarks of fortune media ip limited and are used under licenseFortune and fortune media ip limited are not affiliated with, and do not endorse products or services of, edward jones investments.
Edward jones ranked no6 of the 100 best workplaces for millennials by great place to work and fortune magazine.
2020 corporate equality index – edward jones joins the ranks of 680 major u.s businesses that received top marks in the hrc foundations 18th annual scorecard on lbgtq workplace equality
Edward jones named a top company for training, ranking no25 on training magazine`s 2020 training top 125 list – the highest ranking among the financial-services industry!
Financial services firm edward jones has been named one of the 2019 best workplaces for parents by great place to work and fortune magazineThe firm ranked no5 on the list of 50 companies, up two spots from last year.
The best workplaces for parents list is one of a series of rankings by great place to work and fortune based on employee feedback from great place to work-certified™ organizationsEdward jones ranked no7 on the fortune 100 best companies to work for in 2019 list, the firm’s 20th appearance on the listThe firm also was ranked the no1 best workplace in financial services & insurance and the no6 best workplace for millennials by great place to work and fortune.
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 lawAt 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-beingVisit our career site to learn more about our total compensation approach, which in addition to base salary, typically includes benefits, bonuses and profit sharingThe 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:
