Compliance Counsel - Capital Markets and Operations

$113,810 - $193,785/Yr

Edward Jones - Saint Louis, MO

Full-time - Mid Level

Saint Louis, MO

10,001+ employees

Securities, Commodity Contracts, and Other Financial Investments and Related Activities

About the position

Edward Jones is seeking a Compliance Counsel for the Capital Markets and Operations Compliance area. This role involves partnering with various internal business areas to support the growth of the retail investment business and ensure compliance with regulations. The primary focus is on maintaining and evolving the compliance program for Fixed Income Trading and Operations, providing compliance advice, interpreting laws, and resolving compliance issues.

Responsibilities

• Provide wide-ranging compliance advice and guidance to the firm's Fixed Income Trading and Operations areas.
• Interpret laws, rules, and regulations affecting the organization and develop expertise in trading and operational issues.
• Investigate and resolve compliance issues and respond to questions from internal stakeholders.
• Influence and guide compliance, regulatory, and business initiatives by recommending innovative solutions and best practices.
• Coordinate and conduct assessments of internal policies, procedures, and controls.
• Oversee the operation of various departments to ensure compliance with relevant regulatory requirements and the overall compliance program.
• Provide significant support to projects and initiatives.

Requirements

• J.D. and active license to practice law in good standing.
• At least 3 years of legal and/or compliance experience, preferably in the securities industry.
• Series 7, 66, 52, and 24 licenses must be obtained within 12 months of hire.
• Knowledge of SEC, FINRA, and MSRB Fixed Income Trading and Operations rules and applicable federal and state securities laws preferred.
• Adept at analyzing and creatively solving complex matters.
• Ability to develop strong networks and partnerships across the organization.
• Highly organized, collaborative, and adaptable to change.
• Superb writing, verbal, and interpersonal skills.
• Exceptional judgment and strong work ethic.

Nice-to-haves

• Previous involvement in significant regulatory projects and initiatives.

Benefits

• Medical and prescription drug coverage
• Dental and vision insurance
• Voluntary benefits (accident, hospital indemnity, critical illness)
• Short- and long-term disability coverage
• Basic life and AD&D coverage at no cost
• 401k retirement plan
• Health savings account
• Flexible spending account
• Ten paid holidays
• 15 days of vacation for new associates
• Sick time and personal days
• Paid day for volunteerism
• Eligibility for bonuses and profit sharing
• Employee Assistance Program