Associate General Counsel III - Regulatory

  • Competitive
  • St Louis, MO, USA
  • Permanent, Full time
  • Edward Jones
  • 10 Oct 18

This is an exciting opportunity to provide strategic and day-to-day support and advice on a wide variety of regulatory matters to Edward Jones and its affiliates. This role will serve as a valued business partner and collaborate across divisional lines.

Key Responsibilities:

  • Provide strategic and day-to-day support and advice to the firm and its affiliates on a wide variety of regulatory issues
  • Identify and assess potential liability to the firm, its affiliates, and its associates. Identify regulatory and legal issues  early on and proactively address them, knowing when and how to involve key stakeholders across the firm.
  • Assist the firm in managing regulatory risk including through policies and procedures
  • Effectively interface with regulators including responding to regulatory inquiries
  • Assist in Branch Exams, PIRs, Registration and regulatory requests for complaints
  • Handle Enforcement inquiries and Cause Exams
  • Identify and manage outside counsel when needed for regulatory matters
  • Demonstrated ability to handle matters independently, while exercising good judgment on when a matter needs to be escalated.
  • Communicate effectively with other attorneys, professionals, associates and leaders
  • Approach resolution of regulatory matters by collaborating across divisional lines
  • Integrate self into and across the firm / valued business partner

Position Requirements:

  • Requires J.D.  and license to practice in Missouri or an equivalent state
  • Requires a minimum of 10 years of progressive responsibility as an attorney in private practice, in the public sector, or in an in-house counsel capacity
  • Demonstrated leadership skills, ability to delegate and mentor, and desire to work collaboratively with others
  • Possesses exceptional legal knowledge, judgment, work ethic, and integrity
  • Possesses extensive knowledge of relevant legal area and regulatory environment
  • Demonstrated ability to analyze and resolve complex matters
  • Requires excellent verbal and written communication skills, with demonstrated ability to influence decisions at senior executive level of organizations
  • Work experience related to the securities industry is preferred
  • Leadership involvement in industry associations is preferred
  • Previous supervisory experience is preferred
  • Strong communicator and relationship builder