[Remote] Assoc General Counsel III - Broker Dealer

Note: The job is a remote job and is open to candidates in USA. Edward Jones is a financial services firm that values contributions from its associates. The role involves providing legal advice and guidance on broker-dealer operations, navigating complex regulatory issues, 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 is preferred

Benefits

  • Medical and prescription drug
  • Dental
  • Vision
  • Voluntary benefits (such as accident, hospital indemnity, and critical illness)
  • Short- and long-term disability
  • Basic life
  • Basic AD&D coverage
  • 401k retirement plan
  • Health savings account
  • 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
  • Bonuses and profit sharing
  • 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.

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