Compliance Counsel I
Company: Edward Jones
Location: Jefferson City
Posted on: November 20, 2023
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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.
Partner with Retirement and/or Insurance & Annuity 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.
Provide compliance support with the firm's Operations, Client
Service, Products and Legal divisions to assist in the development
of retirement and/or insurance & annuity products
Interpreting retirement and/or insurance & annuity laws, rules and
regulations affecting the operation of the organization, including,
but not limited to, FINRA, SEC, NAIC, DOL ERISA, IRS and state laws
and regulations.
Conduct periodic oversight reviews of compliance policies and
procedures pursuant to FINRA, SEC, NAIC, DOL, ERISA, IRS and state
laws and regulations.
Review firm wide communications, marketing materials,
acknowledgements, and disclosures regarding the retirement and/or
insurance & annuity products and other disclosures.
Develop and update compliance policies and procedures.
Effectively communicating and sharing information across the
organization
Managing a workload that is large, diverse, and complex
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 in the Retirement and/or Insurance & Annuity
product space
Ability to interpret regulations and apply to due diligence,
oversight, and development and review of policies and procedures in
the Retirement and/or Insurance & Annuity product space
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,
preferably in FINRA, SEC, NAIC, DOL ERISA, IRS and state laws and
regulations.
Candidates that live within in a commutable distance from our
Tempe, AZ and St. Louis, MO home office locations are expected to
work in the office three days per week, with preference for Tuesday
through Thursday
100 Best Workplaces for Millennials in 2022, published Fortune July
2022, Great Places to Work-- data as of March 2022. Compensation
provided for using, not obtaining, the rating. Edward Jones was
recognized as one of the Best Workplaces for Millennials by Great
Places to Work-- and Fortune-- magazine. The privately held firm
ranked No. 2 overall, in its fourth appearance on the list.
2022 Fortune Best Workplaces for Women, published September 2022,
research by Great Places to Work--, data as of August 2021.
Compensation provided for using, not obtaining, the rating.Edward
Jones has been named to the 2022 Best Workplaces for Women list by
Great Places to Work-- and Fortune-- magazine, ranking No. 45.
2022 Fortune's 100 Best Companies to Work For, published April
2022, research by Great Place to Work--, data as of August 2021.
Compensation provided for using, not obtaining, the rating.For the
23rd time, Edward Jones has earned a spot on the Fortune 100 Best
Companies to Work For-- ranking by Great Places to Work-- and
Fortune-- magazine. Edward Jones ranked No. 35 on the prestigious
2022 list.
2022 Best Places to Work For LGBTQ+ Equality, Great Place to Work--
in partnership with Human Rights Campaign Foundation, published
Equity Magazine January 2022, data as of July 2021. Compensation
provided for using, not obtaining, the rating. Edward Jones scored
100 percent on the Human Rights Campaign Foundation's 2022
Corporate Equality Index (CEI) the nation's foremost benchmarking
survey and report measuring corporate policies and practices
related to LGBTQ+ workplace equality. The ranking designated Jones
as one of the best places to work for LGBTQ+Equality.
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: $109696 - $186781
Category: Headquarters
Keywords: Edward Jones, Jefferson City , Compliance Counsel I, Legal , Jefferson City, Missouri
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