Assoc General Counsel III - Broker Dealer

Edward Jones • Saint Louis, MO • 3h ago

Job Description:

Opportunity Overview:

This position on the Legal-US Business Segments and Branch Support team will partner with business, Compliance, Risk, and other Legal team members to provide legal advice and guidance on priorities on the Firm Portfolio or efforts within Digital Product Management or Operations that relate to the core functions of a broker-dealer. This opportunity will afford candidates with demonstrated broker-dealer experience to be part of a culture that inspires the individual and supports him or her.

What you'll do:

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.

Company description

Join a financial services firm where your contributions are valued. Edward Jones is a Fortune 500¹ company where people come first. With over 9 million clients and 20,000 financial advisors across the U.S. and Canada, we're proud to be privately-owned, placing the focus on our clients rather than shareholder returns.

Behind everything we do is our purpose: We partner for positive impact to improve the lives of our clients and colleagues, and together, better our communities and society. We are an innovative, flexible, and inclusive organization that attracts, develops, and inspires performance excellence and a sense of belonging.

People are at the center of our partnership. Edward Jones associates are seen, heard, respected, and supported. This is what we believe makes us the best place to start or build your career.

View our Purpose, Inclusion and Citizenship Report (https://careers.edwardjones.com/blog/edward-jones-releases-annual-purpose-inclusion-and-citizenship-report/?codes=DIRECT&utm_source=DIRECT) .

¹Fortune 500, published June 2024, data as of December 2023. Compensation provided for using, not obtaining, the rating.

Awards and Accolades

At Edward Jones, we are building a place where everyone feels like they belong. We're proud of our associates' contributions to the firm and the recognitions we have received.

Check out our U.S. awards and accolades: Insights & Information Blog Postings about Edward Jones (https://careers.edwardjones.com/blog/?\sft\category=awards-accolades)

Check out our Canadian awards and accolades: Insights & Information Blog Postings about Edward Jones (https://careers.edwardjones.com/en-CA/blogs/?\sft\category=awards-accolades-en-ca)

Awards and Accolades

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.

Requirements

What you'll need:

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. Knowledge of additional rules and regulations such as the Investment Advisers Act of 1940, ERISA, and the Commodities Exchange Act is preferred.

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.

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