Senior Compliance Counsel

Edward Jones; Tempe (AZ); On-site; USD 150,000 - 210,000; Full time

Benefits offered by this job

Medical and prescription drug coverage

Dental and vision benefits

401k retirement plan

Paid holidays and vacation

Job summary

Edward Jones seeks a Compliance Counsel to lead and evolve its advisory compliance program. You will provide strategic guidance on complex regulatory matters to senior executives and partners across firm areas.

The role demands strong leadership, collaboration, and the ability to manage multiple high-stakes projects. You will oversee regulatory reviews, ensure policy adherence, and mentor associates while maintaining top-tier compliance with federal and state securities laws.

Qualifications

• J.D. and active license in good standing.
• Strong problem solving, verbal and written communication skills.
• Excellent leadership and interpersonal abilities to build partnerships across levels.

Responsibilities

• Provide advice on complex compliance, regulatory, and business matters to executives and stakeholders.
• Design and enhance the investment advisory compliance program.
• Lead investigations and resolve complex compliance and regulatory issues.
• Ensure compliance with federal/state securities laws and internal policies.
• Oversee regulatory reviews and prepare required disclosures and agreements.
• Mentor new associates and onboard teammates.

Skills

Legal leadership

Regulatory guidance

Strategic advisory

Communication

Influence decision makers

Education

J.D. degree

Job description

This job posting is anticipated to remain open for 30 days, from 08‑Sep‑2026. The posting may close early due to the volume of applicants.

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

In this role, you will operate with a high degree of independence and partner with numerous internal business areas throughout the firm to support the continued growth of Edward Jones’s investment advisory business and our commitment to helping serious, long‑term investors achieve their financial goals. Your primary responsibilities will focus on maintaining and continually evolving our compliance program for a suite of discretionary and client‑directed fee‐based advisory offerings currently comprised of over 5 million accounts totaling more than $1 trillion in assets. You will also be responsible for prioritizing numerous complex efforts simultaneously, while creating innovative approaches to successfully achieve optimal solutions for our clients, regulators, and stakeholders. Additionally, you need a growth and adaptability mindset, strong collaboration skills, and the ability to foster meaningful and deep relationships across the organization. As a Compliance Counsel, you will need to demonstrate leadership behaviors and achieve results through others.

What You Will Do:

• With significant autonomy, use seasoned judgment to provide advice and guidance on prominent and complex strategic initiatives to a diverse group of stakeholders, including senior executives, regarding a wide range of compliance, regulatory, and business matters to ensure the firm meets its obligations to clients and regulators.
• Assist in the design, oversight, and enhancement of the firm's investment advisory compliance program to prevent, detect, and promptly address compliance matters that are materially impactful to the firm and its affiliates.
• Effectively partner and communicate with leaders and senior executives in investigating and resolving complex and ambiguous compliance, regulatory, and other issues involving the firm's investment advisory business.
• Partner with business areas and service providers to ensure compliance with federal and state securities laws and regulations and internal policies and procedures relevant to the firm's investment advisory business.
• Communicate effectively with other compliance professionals, attorneys, associates and leaders.
• Demonstrate significant knowledge of laws, rules, and regulations impacting investment advisory offerings, including, but not limited to, the Investment Advisers Act.
• Oversee and provide guidance to leadership of various departments on: (a) compliance with relevant regulatory requirements, including laws, rules, and regulations; and, (b) the design, implementation and operation of the firm's investment advisory compliance program.
• Lead assessments of policies, procedures, and controls.
• Review and occasionally assist in the preparation of regulatory acknowledgements, disclosures, filings, agreements, responses, marketing, education, and training materials (e.g. Form ADV Parts 1, 2A, 2B, and 3; Form N-PX; advisory client service agreements).
• Oversee due diligence of third‑party service providers to the firm's investment advisory business.
• Conduct or lead periodic regulatory reviews of the firm's business, namely the Edward Jones Annual Compliance Review pursuant to Rule 206(4)-7 of the Investment Advisers Act of 1940.
• Advise pertinent stakeholders on regulatory actions, including enforcement inquiries and examinations, as necessary.
• Assist in the onboarding and mentorship of new associates.
• Candidates that live within a commutable distance from our Tempe, AZ and St. Louis, MO home office locations are expected to work in the office four days per week.

What You Will Need:

• Requires J.D. and license that is active and in good standing.
• At least 8 years required, 10 years preferred, of legal and/or compliance experience with deep subject matter expertise of federal and state securities laws relevant to investment advisers and retail investment advisory offerings.
• Excellent problem‑solving, verbal, and written communication skills.
• Exceptional leadership and interpersonal skills, with an ability to develop meaningful partnerships at all levels within the organization.
• Demonstrated ability to autonomously influence decision makers at all levels of an organization.
• Capable of: (a) successfully leading projects; (b) overseeing complex situations requiring compliance support and guidance; (c) reviewing work of associates; and, (d) training and mentoring associates.
• Adept at analyzing and creatively solving ambiguous matters that are often complex.
• Previous involvement in significant projects and initiatives, including those with senior stakeholders.
• Highly organized, collaborative, adaptable to change and excited to continually learn in a dynamic organization.
• Exceptional judgment, strong work ethic, thought leadership and unwavering integrity.

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

Check out our Canadian awards and accolades: Insights & Information Blog Postings about Edward Jones

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.

• medical and prescription drug, dental, vision, voluntary benefits (such as accident, hospital indemnity, and critical illness), short- and long-term disability, basic life, and basic AD&D coverage.
• Short- and long-term disability, basic life, and basic AD&D coverage are provided at no cost to associates.
• Edward Jones offers a 401k retirement plan, and tax-advantaged accounts: health savings account, and flexible spending account.
• Edward Jones observes ten paid holidays and provides 15 days of vacation for new associates beginning on January 1 of each year, as well as sick time, personal days, and a paid day for volunteerism.
• Associates may be eligible for bonuses and profit sharing.
• All associates are eligible for the firm's Employee Assistance Program.

Qualified applicants with arrest or conviction records will be considered for employment in accordance with the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act. Edward Jones is prohibited from hiring individuals with certain specified criminal history as set forth in Section 3(a)(39) and 15(b)(4) and Rule 17a-3(a)(12) of the Securities and Exchange Act of 1934, and conducts background reviews consistent with FINRA Rule 3110(e). A copy of a notice regarding the provisions of the Los Angeles County Fair Chance Ordinance is available at: dcba.lacounty.gov/wp-content/uploads/2024/08/FCOE-Official-Notice-Eng-Final-8.30.2024.pdf