Note: The job is a remote job and is open to candidates in USA. Edward Jones is a financial services firm where contributions are valued, and they are seeking an Associate General Counsel III – Broker Dealer to provide legal advice and guidance on broker-dealer operations. This role involves navigating complex legal issues, supporting projects, and serving as a subject matter expert in broker-dealer regulations.
Responsibilities
• Navigate complex issues and partner with legal, compliance, and risk colleagues to provide business-focused and risk-informed legal advice and guidance to achieve firm objectives relating to the core functions of a broker-dealer
• Work with associates and leaders across the firm to support projects on the firm portfolio and the core operations of the broker-dealer by identifying regulatory and other legal risks and providing organized and concise assessments with actionable recommendations where appropriate
• Serve as a subject matter expert on rules and regulations governing broker-dealers, including SRO rules, state regulations, the Securities Act of 1933, and the Exchange Act of 1934
• Manage a workload that is large, diverse, and complex
Skills
• Juris Doctorate and licensed to practice law in the State of Missouri or another state
• Deep familiarity with regulation from a perspective of wealth management, including broker-dealer conduct rules and Regulation Best Interest
• Expertise on the rules and regulations governing broker-dealers, including SRO rules, state regulations, the Securities Act of 1933, and the Exchange Act of 1934 is required
• Retail broker-dealer and wealth management experience with a premium on work experience for a regulator or work in-house or as outside counsel providing broad broker-dealer regulatory counsel
• License to practice law in Missouri or an equivalent state
• Ten (10) years of progressive responsibility as an attorney in private practice, in the public sector (including with a regulator) or in an in-house counsel capacity
• Technological aptitude and ability to learn and use new technologies, including artificial intelligence
• Knowledge of additional rules and regulations such as the Investment Advisers Act of 1940, ERISA, and the Commodities Exchange Act
Benefits
• Medical and prescription drug
• Dental
• Vision
• Voluntary benefits (such as accident, hospital indemnity, and critical illness)
• Short- and long-term disability
• Basic life, and basic AD&D coverage
• Short- and long-term disability, basic life, and basic AD&D coverage are provided at no cost to associates
• 401k retirement plan
• Tax-advantaged accounts: health savings account, and flexible spending account
• Ten paid holidays
• 15 days of vacation for new associates beginning on January 1 of each year
• Sick time
• Personal days
• A paid day for volunteerism
• Associates may be eligible for bonuses and profit sharing
• All associates are eligible for the firm’s Employee Assistance Program
Company Overview
• Edward Jones provides personalized investment advisory, brokerage, and management services. It was founded in 1922, and is headquartered in St Louis, Missouri, USA, with a workforce of 10001+ employees. Its website is https://www.edwardjones.com.
Location: , ,
Benefits:
- Health Insurance
- Paid Time Off
Jobright: Apply Here