Senior HQ Compliance Advisor

Opportunity Overview

As part of the U.S. Segment Compliance team, you'll partner with Business, Legal, Risk, and Compliance stakeholders to provide guidance on Firm Portfolio and Digital Product Management initiatives, including financial planning, brokerage accounts, Reg BI obligations, digital and AI tools, branch roles, and the firm's conflicts of interest program.
This role focuses on maintaining and enhancing the firm's compliance program, managing multiple complex initiatives, and delivering practical solutions while building strong cross-functional partnerships.

Key Responsibilities:

• Provide compliance guidance on strategic business, regulatory, and compliance matters.
• Design, oversee, and enhance compliance programs to identify and address risks.
• Partner with stakeholders to resolve complex compliance and regulatory issues.
• Ensure compliance with securities laws, regulations, and internal policies.
• Advise business partners on regulatory requirements and compliance program implementation.
• Represent Compliance on cross-functional initiatives and projects.
• Support regulatory disclosures, filings, responses, training materials, and Reg BI-related communications.

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.

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 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.

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 2024, data as of December 2023. Compensation provided for using, not obtaining, the rating.

Position Requirements

• Bachelor's degree required.
• 10+ years of experience in securities, consulting, regulatory, compliance, or audit functions.
• Deep knowledge of securities regulations, industry requirements, and supervisory policies.
• Experience interpreting regulatory changes and assessing business impacts.
• Proven project leadership and project management experience.
• Ability to build relationships and influence business partners, advisors, regulators, vendors, and leadership.

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.

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, and tax-advantaged accounts: health savings account, and flexible spending account. Edward Jones observes ten paid holidays and provides 15 days of vacation for new associates beginning on January 1 of each year, as well as sick time, personal days, and a paid day for volunteerism. Associates may be eligible for bonuses and profit sharing. All associates are eligible for the firm's Employee Assistance Program. For more information on the Benefits available to Edward Jones associates, please visit our benefits page.