Senior HQ Compliance Advisor

Position Type

Home Office

Position Schedule

Full-Time

EEO Statement

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.

Posting Location

Missouri, St. Louis

Company Description

Join a financial services firm where your contributions are valued.  Edward Jones is a Fortune 500¹ company where people come first. With over 8 million clients and 19,000 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 2023, data as of December 2022. Compensation provided for using, not obtaining, the rating.
 

External Flexible Work Option(s)

Hybrid

Awards and Accolades

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

Search Headquarters Positions by Area of Interest

Regulatory and Compliance

Position Requirements

Position Requirements :

• Minimum of five years of securities industry experience, with at least 3 years in a compliance capacity or similar experience
• Bachelor's degree preferred
• Series 7, 66, 24 and 52 must be obtained within 12 months of hire if not already held
• Knowledge of the relevant SEC, FINRA and MSRB Fixed Income Trading and Operations rules and applicable federal and state securities laws strongly preferred
• Experience with Options, Alternatives and Other Complex Products a plus
• Adept at analyzing and creatively solving ambiguous, complex matters
• Ability to develop strong and meaningful networks and partnerships at all levels and in a wide variety of areas in Compliance and across the organization (e.g. Trading, Operations, Investment Advisory Platform Management, Legal and Risk)
• Highly organized, collaborative, adaptable to change and excited to continually learn in a dynamic organization
• Superb writing, verbal, and interpersonal skills
• Exceptional judgment, strong work ethic and adept at thought leadership
• Previous involvement in significant regulatory projects and initiatives

Salary Information

Edward Jones' compensation and benefits package includes 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,