In this role, you will operate with a high degree of independence and partner with numerous internal business areas throughout the firm to support the continued growth of Edward Jones' investment advisory business and our commitment to helping serious, long-term investors achieve their financial goals. Your primary responsibilities will focus on maintaining and continually evolving our compliance program for a suite of discretionary and client-directed fee-based advisory offerings currently comprised of 5+ million accounts totaling more than $830 billion in assets.  You will also be responsible for prioritizing numerous complex efforts simultaneously, while creating innovative approaches to successfully achieve optimal solutions for our clients, regulators, and stakeholders.  Additionally, you need a growth and adaptability mindset, strong collaboration skills, and the ability to foster meaningful and deep relationships across the organization.  As a Senior HQ Compliance Advisor, you will need to demonstrate leadership behaviors and achieve results through others.

Key ResponsibilitiesWith significant autonomy, use seasoned judgment to provide advice and guidance on prominent and complex strategic initiatives to a diverse group of stakeholders, including senior executives, regarding a wide range of compliance, regulatory, and business matters to ensure the firm meets its obligations to clients and regulatorsAssist in the design, oversight, and enhancement of the firm's investment advisory compliance program to prevent, detect, and promptly address compliance matters that are materially impactful to the firm and its affiliates Effectively partner and communicate with leaders and senior executives in investigating and resolving complex and ambiguous compliance, regulatory, and other issues involving the firm's investment advisory businessPartner 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 businessCommunicate effectively with other compliance professionals, attorneys, associates and leadersDemonstrate significant knowledge of laws, rules, and regulations impacting investment advisory offerings, including, but not limited to, the Investment Advisers ActOversee and provide guidance to leadership of 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 programLead assessments of policies, procedures, and controlsReview and occasionally assist in the preparation of regulatory acknowledgements, disclosures, filings, agreements, responses, marketing, education, and training materials (e.g. Form ADV Parts 1, 2A, 2B, and 3; Form N-PX; advisory client service agreements)Oversee due diligence of third-party service providers to the firm's investment advisory businessConduct or lead periodic regulatory reviews of the firm's business, namely the Edward Jones Annual Compliance Review pursuant to Rule 206(4)-7 of the Investment Advisers Act of 1940Advise pertinent stakeholders on regulatory actions, including enforcement inquiries and examinations, as necessaryAssist in the onboarding and mentorship of new associates