Hiring: Compliance Counsel I - Investment Advisory Company: Edward Jones Location: Tempe, AZ Job Posted Time: 2026-09-10 13:06:45 About the job Experience: •3 years required, 5 years preferred of legal and/or compliance experience required in the securities (or other highly regulated) industry, private practice, public sector, or in-house counsel capacity. •At least 3 years required, 5 years preferred of legal and/or compliance experience required in the securities (or other highly regulated) industry, private practice, public sector, or in-house counsel capacity. Required Skills: •Under general supervision, use seasoned judgment to provide advice and guidance on strategic initiatives to a diverse group of stakeholders across the firm regarding a wide range of compliance, regulatory, and business matters to ensure the firm meets its obligations to clients and regulators •Uses sound professional judgement to design, oversee, and enhance the firm's investment advisory compliance program to prevent, detect, and promptly address compliance matters •Effectively partner with stakeholders in investigating and resolving complex and ambiguous compliance, regulatory, and other issues involving the firm's investment advisory business •Partner with business areas and service providers to ensure compliance with federal and state securities laws and regulations and internal policies and procedures relevant to the firm's investment advisory business. •Communicate effectively with other compliance professionals, attorneys, associates and leaders. •Interpret and develop specialized depth and breadth of expertise in laws, rules, and regulations impacting investment advisory offerings, including the Investment Advisers Act •Oversee and provide guidance to various departments on: (a) compliance with relevant regulatory requirements, including laws, rules, and regulations; and, (b) the design, implementation and operation of the firm's investment advisory compliance program. •Coordinate and conduct assessments of policies, procedures, and controls Qualifications: •Requires J.D. and license that is active and in good standing Compensation: •$120,000 - $204,300 / year Interested candidates, please apply directly through the job posting on company's career page or try via AI auto apply on this platform. Don't miss this opportunity to join a forward-thinking team!