Compliance Attorney - Compliance Regulatory/40 Act

The Compliance division of Edward Jones currently has an opening for a Compliance Attorney.

Responsibilities:
-Perform Compliance functions required by the IC Report and communicate findings as needed.
-Specific responsibilities include ensuring records of Mutual Fund reviews and meetings are created and retained, review Mutual Fund SAIs and prospectus for disclosures.
-Oversight the training cost reimbursement from fund companies and the records retention process from fund companies.
-Legal direction and responsibilities to the Regulatory team.
-Legal direction on 40 Act issues and questions.
-Plan and prepare oversight programs and serve as a resource to the business areas as needed.
-Become and remain familiar with regulatory initiatives and assist in the implementation of programs to ensure the firm remains in compliance.

Requirements:
-Law Degree Required.
-Some exposure or experience working with 40 Act issues.
-Excellent communication, conflict-management and problem-solving skills.
-Ability to communicate with investment representatives, branch staff, leaders, department members and others in the firm in a fair manner.
-Strong leadership and interpersonal skills.
-Strong team player.
-Self starter with ability to make reasoned judgments.
-Would prefer someone with Series 7 and 63 licenses for at least one year.
-Series 9,10, and 24 licenses must be obtained within 12 months of hire.
-Auditing, accounting or compliance experience is preferred.
-Ability to work autonomously.

(JS)

You may also apply directly through the Edward Jones on-line resume form: