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Associate General Counsel I – Investment Advisory Attorney

Edward Jones
Posted May 06
St. Louis, MO
At Edward Jones, we help clients achieve their serious, long-term financial goals by understanding their needs and implementing tailored solutions. To ensure a personal client experience, we have located our 14,000+ branch offices where our more than 7 million clients live and work.

A typical branch office has one financial advisor who meets with clients face-to-face and one branch office administrator who enhances the team's ability to build deep relationships with clients. Headquarters associates in St. Louis and Tempe provide support and expertise to help U.S. and Canada branch teams deliver an ideal client experience. Edward Jones currently has more branch offices than any other financial services firm, and we continue to grow to meet the needs of long-term individual investors.
Our Legal Division is expanding to enhance solutions for millions of clients and their families. We are looking for an experienced attorney to provide legal advice and support to leaders across the Firm related to our fee-based investment advisory platform and programs. This opportunity will afford the successful candidate the opportunity to be a part of a culture that inspires the individual and supports them so that they can care for their colleagues and be part of a team focused on delivering solutions.

The individual selected for this role will enjoy the benefit of working for a well-established 97-year old Fortune 500 firm; and also will have the opportunity to be a key influencer within the Firm by using their understanding of investment advisory programs and solutions to enhance the support provided by the Legal Division.

The Associate General Counsel I, Investment Advisory Attorney should possess:
  • Superior legal knowledge, judgment, work ethic and integrity, and a demonstrated ability to maintain confidentiality.
  • Familiarity with fee-based advisory programs and applicable federal laws and regulations that govern such programs, the contractual agreements that govern such programs and disclosures that are provided to retail clients.
  • Understanding of the requirements of Form ADV (Part I, II and III) and experience with the annual updating process for all required filings.
  • Capability to make recommendations on a wide range of matters pertaining to the development of fee-based advisory programs.
  • Ability to develop and implement solutions to eliminate, manage and mitigate risk to the Firm.
  • Ability to analyze complex legal matters and recommend changes to organizational policies and procedures.
  • Ability to successfully partner with associates across the Firm in a collaborative manner to deliver results and move important work through the organization.
  • Sound judgment, decision making, and conflict resolution skills.
  • Excellent communication (oral and written), presentation and interpersonal skills with demonstrated ability to convey information to legal and non-legal professionals at all levels, including senior leaders.
  • Ability to interact with sophisticated outside counsel to identify, evaluate and make recommendations on complex legal questions and issues.
  • Juris Doctorate and licensed to practice law in the State of Missouri or other state
  • Minimum of three (3) years of progressive professional responsibility and experience in relevant practice areas
  • Experience working in private practice representing broker-dealers and registered investment advisors, or in-house counsel for a registered broker-dealer or investment advisor
  • Experience working with SEC and FINRA preferred
  • Technological aptitude and ability to learn new technologies
  • FORTUNE 2020 – Edward Jones was named No. 7 on the 2020 FORTUNE 100 Best Companies to Work For® list.
    • From FORTUNE ©2020 FORTUNE Media IP Limited. All rights reserved. Used under license. FORTUNE and FORTUNE 100 Best Companies to Work For are registered trademarks of Fortune Media IP Limited and are used under license. FORTUNE and Fortune Media IP Limited are not affiliated with, and do not endorse products or services of, Edward Jones Investments.
  • Edward Jones Ranked No. 6 of the 100 best workplaces for millennials by Great Place to Work and FORTUNE Magazine.
  • 2020 Corporate Equality Index – Edward Jones joins the ranks of 680 major U.S businesses that received top marks in the HRC Foundations 18th Annual Scorecard on LBGTQ Workplace Equality
  • Edward Jones named a top company for training, ranking No. 25 on Training magazine's 2020 Training Top 125 list – the highest ranking among the financial-services industry!
  • Financial services firm Edward Jones has been named one of the 2019 Best Workplaces for Parents by Great Place to Work and FORTUNE magazine. The firm ranked No. 5 on the list of 50 companies, up two spots from last year.
    • The Best Workplaces for Parents list is one of a series of rankings by Great Place to Work and FORTUNE based on employee feedback from Great Place to Work-Certified™ organizations. Edward Jones ranked No. 7 on the FORTUNE 100 Best Companies to Work for in 2019 list, the firm’s 20th appearance on the list. The firm also was ranked the No. 1 Best Workplace in Financial Services & Insurance and the No. 6 Best Workplace for Millennials by Great Place to Work and FORTUNE.
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.
At Edward Jones, we value and respect our associates and their contributions, and we recognize individual efforts through a rewards program that promotes a long-term career, financial security and well-being. Visit our career site to learn more about our total compensation approach, which in addition to base salary, typically includes benefits, bonuses and profit sharing. The salary range for this role is based on national data and actual pay is based on skills, experience, education, and other relevant factors for a potential new associate:
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