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Our Legal Division is expanding to enhance solutions for millions of clients and their families. We are looking for an experienced attorney to partner with business leaders across the firm to provide strategic legal support and ensure the firm is meeting its legal and regulatory obligations while successfully executing the firm’s most important initiatives.

What You’ll Do:

 

This position includes working with business leaders to develop solutions that serve our clients’ best interests and deliver an exceptional experience for our branch teams, clients, and the firm. The work is dynamic and requires the ability to look beyond the specific legal questions to understand the goals of the business and aid in getting to the best solution. This opportunity will afford the successful candidate the opportunity to be a part of a culture that inspires and supports the individual and allows them to be part of a team focused on delivering solutions.

Candidates should be highly motivated and knowledgeable about the industry and the firm. The position requires strong collaboration, an aptitude for continual learning, demonstration of intellectual curiosity by asking questions and connecting work across multiple initiatives, ability to identify and mitigate risks in new and evolving areas of law, and an ability to influence firm leaders.

Here are a few of the key responsibilities you will be a part of :

• Represent Edward Jones in responding to inquiries and examinations from various securities regulators, including FINRA, the SEC, and State securities agencies.
• Identify and assess potential risk to the firm, its affiliates, and its associates related to regulatory inquiries and examinations. Identify regulatory and legal issues early on and proactively address them, knowing when and how to involve key stakeholders across the firm.
• Assist the firm in managing regulatory risk including through policies and procedures.
• Deepen the firm’s relationships and credibility with its various securities regulators at the Federal, state, and SRO levels.
• Assist in Branch Exams, Public Information Reviews, Registration, and regulatory requests related to complaints.
• Educate and advise Edward Jones, its business partners, and its associates on regulatory matters, securities rules and regulations, and industry trends.
• Identify, actively supervise, and guide outside counsel when needed for regulatory matters.
• Conduct internal reviews and investigations relating to securities rules and regulations.
• Demonstrate ability to handle matters independently, while exercising good judgment on when a matter needs to be escalated.
• Communicate effectively with other attorneys, professionals, associates and leaders, and successfully integrate into and across the firm by becoming a valued business partner.