Sr. Workplace Compliance Advisor
Edward D. Jones
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 regulatorsUses sound professional judgement to design, oversee, and enhance the firm's compliance programs that prevent, detect, and promptly address compliance matters within the Workplace SegmentEffectively partner with stakeholders in investigating and resolving complex and ambiguous compliance, regulatory, and business issuesPartner 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 leadersInterpret 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 programCoordinate 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 materialsConduct due diligence of the firms Workplace Segment third party service providers Conduct periodic regulatory reviews of the firm's employer plan retirement business
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