**Want a meaningful career where you can make a difference? Edward Jones sounds perfect for you.** Collaboration. Autonomy. Opportunity. Words our headquarters associates use when talking about working at Edward Jones. Words that describe what it's like being part of a firm where everyone is aligned toward a singular focus: serving the client. And everyone is working to make the firm better together - as they grow as individuals. If these words resonate with you, we should talk. **Job Overview** **Position Schedule:** Full-Time In this role, you will partner with numerous internal business areas throughout the firm to support the continued growth of Edward Jones and our commitment to helping serious, long-term investors achieve their financial goals. Your primary responsibilities will include a focus on maintaining our continually evolving compliance program in the Workplace Segment with a growth and adaptability mindset, requiring strong collaboration and the ability to foster meaningful and deep relationships across the organization. You will also be responsible for prioritizing numerous Workplace Segment complex efforts simultaneously, while creating innovative approaches to successfully achieve optimal solutions for our clients, regulators, and stakeholders. + Under general supervision, uses seasoned judgment to provide advice and guidance on strategic initiatives to the Workplace Segment and 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 compliance programs that prevent, detect, and promptly address compliance matters within the Workplace Segment + Effectively partner with stakeholders in investigating and resolving complex and ambiguous compliance, regulatory, and business issues + Partner with the Workplace Segment retirement products business area and service providers to ensure compliance with federal and state securities laws and regulations (ERISA, Department of Labor, IRS, etc.) and internal policies and procedures, and communicate effectively with other compliance professionals, attorneys, associates, and leaders + Interpret laws, rules and regulations affecting the operation of the Workplace Segment and develop specialized depth and breadth of expertise involving the firm's retirement platforms. + 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 Workplace Segment compliance program + Coordinate and conduct assessments of policies, procedures, and controls impacting the firms Workplace Segment. + Assist in the preparation of regulatory acknowledgements, disclosures, filings, responses, marketing, education, and training materials + Conduct due diligence of the firms Workplace Segment third party service providers + Conduct periodic regulatory reviews of the firm's employer plan retirement business 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 (https://secure.edwardjonesbenefits.com/fleet/public/index/f914262d-0362-4682-bd1e-0ccd25f1dfb1) . **Hiring Minimum:** $117000 **Hiring Maximum:** $199300 Qualified applicants with arrest or conviction records will be considered for employment in accordance with the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act. Edward Jones is prohibited from hiring individuals with certain specified criminal history as set forth in Section 3(a)(39) and 15(b)(4) and Rule 17a-3(a)(12) of the Securities and Exchange Act of 1934, and conducts background reviews consistent with FINRA Rule 3110(e). A copy of a notice regarding the provisions of the Los Angeles County Fair Chance Ordinance is available at: dcba.lacounty.gov/wp-content/uploads/2024/08/FCOE-Official-Notice-Eng-Final-8.30.2024.pdf . Read More About Job Overview **Skills/Requirements** + Bachelor's degree required. Advance degree preferred. + At least 12 years required of compliance, consulting, or regulatory experience required in the securities industry, specifically supporting the firm's retirement plan business. 15 years preferred. + Series 7, 66 and 24 licenses required. + Specific knowledge of federal and state securities laws impacting the retirement plan industry which may include: FINRA, SEC, ERISA, Department of Labor (DOL), SECURE Act, CARES Act, and/or IRS regulations + Specific experience in constructing compliance programs to comply with ERISA and DOL Prohibited Transaction requirements along with SECURE Act 1 & 2. + Specific experience in executing the analysis, testing and documentation required of the applicable regulatory annual review processes. + Requires excellent problem-solving, verbal, and written communication skills + Strong leadership and interpersonal skills, with an ability to develop meaningful partnerships at all levels within the organization + Demonstrated ability to influence decision makers across the organization + Adept at analyzing and creatively solving ambiguous matters that are often complex + Highly organized, collaborative, adaptable to change and excited to continually learn in a dynamic organization + Exceptional judgment, strong work ethic, thought leadership and unwavering integrity + **Candidates that live within in a commutable distance from our Tempe, AZ and St. Louis, MO home office locations are expected to work in the office three days per week, with preference for Tuesday through Thursday.** Read More About Skills/Requirements **Awards & 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 (https://careers.edwardjones.com/blog/?\_sft\_category=awards-accolades) Check out our Canadian awards and accolades: Insights & Information Blog Postings about Edward Jones (https://careers.edwardjones.com/en-CA/blogs/?\_sft\_category=awards-accolades-en-ca) Read More About Awards & Accolades **About Us** 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 (https://www.edwardjones.com/us-en/why-edward-jones/about-us/corporate-citizenship/purpose-in-action) . ¹Fortune 500, published June 2024, data as of December 2023. Compensation provided for using, not obtaining, the rating. 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. \#LI-HO