Compliance Counsel II, CMPL

In this role, you will operate with a high degree of independence and partner with numerous internal business areas throughout the firm to support the continued growth of Edward Jones and our commitment to helping serious, long-term investors achieve their financial goals. Your primary responsibilities will include a focus on maintaining and continually evolving our compliance program with a growth and adaptability mindset, requiring strong collaboration and the ability to foster meaningful and deep relationships across the organization. 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. You will be expected to demonstrate leadership behaviors and achieve results through others.

• With significant autonomy, use seasoned judgment to provide advice and guidance on prominent and complex strategic initiatives to a diverse group of stakeholders, including senior executives, regarding a wide range of compliance, regulatory, and business matters to ensure the firm meets its obligations to clients and regulators
• Assist in the design, oversight, and enhancement of the firm's compliance programs that prevent, detect, and promptly address compliance matters that are materially impactful to the firm and its affiliates
• Effectively partner and communicate with leaders and senior executives in investigating and resolving complex and ambiguous compliance, regulatory, and business issues
• Partner with business areas and service providers to ensure compliance with federal and state securities laws and regulations and internal policies and procedures, and communicate effectively with other compliance professionals, attorneys, associates and leaders
• Demonstrate significant knowledge of laws, rules, and regulations including FINRA, SEC, and Investment Advisers Act
• Oversee and provide guidance to leadership of various departments on: (a) compliance with relevant regulatory requirements, including laws, rules, and regulations; and, (b) the design, implementation and operation of the compliance program
• Lead assessments of policies, procedures, and controls
• Review and occasionally assist in the preparation of regulatory acknowledgements, disclosures, filings, responses, marketing, education, and training materials.
• Oversee due diligence of the firm's third-party service providers.
• Conduct or lead periodic regulatory reviews of the firm's business.
• Assist in the onboarding and mentorship of new associates
• Advise pertinent stakeholders on regulatory actions, including enforcement inquiries and examinations, as necessary