Join the World's Top Legal Talent Network

Do you have a background in litigation and providing legal guidance? Do you enjoy solving complex issues alongside industry regulations and firm business practices? If so, this opportunity might be for you!

Edward Jones is seeking a Compliance Counsel to support the growth of its affiliated mutual fund complex.

This position performs critical functions including providing regulatory advice and guidance to Firm management, conducting initial and ongoing diligence on fund service providers, preparing and presenting quarterly reports to the funds’ board of trustees, developing and maintaining policies and procedures, facilitating regulatory examinations, evaluating the impact of regulations relevant to the affiliated funds business, and performing compliance testing across the Firm.

What You’ll Do:

• ​​​​Partner with applicable business areas and service providers to provide timely advice and guidance regarding compliance with federal and state securities laws and regulations and internal policies and procedures.
• Conduct periodic oversight reviews of compliance policies and procedures pursuant to Rule 38a-1 of the Investment Company Act and Rule 206(4)-7 of the Investment Advisers Act and provide written documentation of the results.
• Conduct ongoing oversight and diligence of mutual fund service providers.
• Review prospectuses, SAI, periodic reporting, advertising, and other disclosures.
• Develop and update compliance policies and procedures.
• Provide ongoing compliance support to the funds and the adviser.
• Facilitate regulatory examinations of the firm’s Fund and Adviser affiliates.