Associate General Counsel II - Investment Advisory

About the role

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.

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 manage complex legal matters while balancing competing priorities in a dynamic environment.
• Proven ability to communicate complex legal concepts to both legal and non-legal audiences, including senior leadership.

Skills

• Strategic thinking and problem-solving skills.
• Collaborative and team-oriented approach.
• Effective communication and interpersonal skills.
• Adaptability and quick learning ability.
• Ability to handle multiple tasks and prioritize effectively.

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

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.