[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