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Associate General Counsel II - Investment Advisory

Edward Jones · Tempe, AZ · 2 wk ago
HybridLegalFull-time

About the role

The Legal Division at Edward Jones is expanding to support the evolving needs of our clients, advisors, and business partners. This role requires a strategic thinker who can look beyond the immediate legal question to understand broader business objectives and help deliver practical, risk-conscious solutions.

Responsibilities

  • Serve as a strategic legal advisor on the design, development, implementation, and enhancement of investment advisory programs and services.
  • Interpret and apply the requirements of Form ADV Parts I, II, and III, including annual updates and ongoing amendments as required.
  • Provide legal leadership and guidance on a broad range of investment advisory and regulatory matters affecting the Firm and its affiliates.
  • Identify, assess, and develop solutions to eliminate, manage, and mitigate legal and regulatory risks.
  • Analyze complex legal issues and recommend enhancements to organizational policies, procedures, and practices.
  • Partner with business leaders and cross-functional stakeholders to support strategic initiatives and drive successful outcomes.
  • Exercise sound judgment, decision-making, and conflict-resolution skills while balancing legal, regulatory, and business considerations.
  • Communicate complex legal concepts clearly and effectively to legal and non-legal audiences, including executive and senior leadership teams.
  • Collaborate with outside counsel to evaluate and resolve sophisticated legal and regulatory issues.
  • Support the successful execution of investment advisory initiatives through proactive legal guidance and practical problem-solving.

Requirements

  • Juris Doctorate and licensed to practice law in the State of Missouri or other state.
  • Minimum of five (5) years of progressive professional responsibility and experience in relevant practice areas.
  • Experience working in private practice representing broker-dealers and registered investment advisors, or as in-house counsel for a registered investment advisor.
  • Exceptional legal knowledge, judgment, work ethic, and integrity, with a demonstrated ability to maintain confidentiality.
  • Familiarity with investment advisory programs, applicable federal laws and regulations that govern such programs, contractual agreements, and disclosures provided to retail clients.

Qualifications

  • Experience working with SEC and FINRA regulations and examinations.
  • Experience supporting or advising on alternative investments.
  • Strong technological aptitude and the ability to quickly learn and adapt to new technologies.
  • Ability to translate complex legal and regulatory requirements into practical, business-focused solutions.
  • Strong relationship-building skills and the ability to effectively partner with stakeholders across the organization.
  • Excellent written, verbal, presentation, and interpersonal communication skills.
  • A proactive, solutions-oriented mindset with the ability to influence outcomes and drive meaningful results.
  • Demonstrated ability to communicate complex legal concepts to both legal and non-legal audiences, including senior leadership.

Skills

  • Strategic thinking and problem-solving skills.
  • Effective communication and collaboration abilities.
  • Ability to manage multiple tasks and prioritize responsibilities.
  • Knowledge of investment advisory programs and regulatory requirements.
  • Technical aptitude and quick learning ability.

Benefits

  • Medical and prescription drug coverage.
  • Dental and vision coverage.
  • Voluntary benefits (accident, hospital indemnity, critical illness).
  • Short- and long-term disability coverage.
  • Basic life and AD&D coverage.
  • 401(k) retirement plan.
  • Tax-advantaged accounts (health savings account, flexible spending account).
  • Comprehensive paid time off and benefits.
  • Employee Assistance Program.

Pay

Compensation provided for using, not obtaining, the rating.

Schedule

Associates are expected to work in the office four days per week.

Edward Jones is an Equal Opportunity Employer

We are committed to creating a diverse and inclusive workplace where everyone feels valued and respected. We celebrate diversity and are proud to have a team that reflects the communities we serve.

Equal Opportunity Statement

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.

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