- Under general supervision, responsible for providing strategic advice to the firm and its affiliates on a wide variety of legal issues and projects.
- Responsible for conducting timely, thorough and professional investigations of client concerns in a manner consistent with the firm's culture, values, policies and procedures.
- Uses sound judgment to identify and assess potential liability to the firm, its affiliates, and its associates.
- Analyzing correspondence received from various parties (clients, lawyers, regulatory agencies, authorized individuals, etc.) to identify complaints, assess risk, and determine appropriate response to same.
- Providing a thorough, professional written and/or verbal response to complainants explaining complex matters in an understandable fashion and conveying the firm's position in a logical, substantiated manner.
- Communicating settlement offers and/or proposing and taking corrective action based on the findings of an investigation.
Home Office - Canada
Home based Associate?
Possess an LLB or JD and a member of in the Law Society of Ontario.
- 2- 4+ years' progressive experience in an in-house or private practice setting with experience in financial services or regulated industry preferred.
- Proven ability to investigate problems, make sense of information and simplify legal and compliance concepts while communicating (verbal and written) detailed information in an impactful way.
- Demonstrated experience in the identification of risks and related recommendations regarding risk mitigation.
- Demonstrated legal judgment and excellent strategic and analytical skills.
- Ability to effectively manage tight timelines and keep others informed.
- Experience/familiarity in the following areas would be considered an asset:
- Relevant securities industry rules and regulations (such as those pertaining to investment products, trading, sales communications, acceptable business practices, handling of client complaints and filing/reporting requirements);
- Investment dealer compliance methodology and program objectives; and relevant Compliance systems, processes and procedures.
At Edward Jones, we help clients achieve their serious, long-term financial goals by understanding their needs and implementing tailored solutions. To ensure a personal client experience, we have located our 14,000+ branch offices where our more than 7 million clients live and work. A typical branch office has one financial advisor who meets with clients face-to-face and one branch office administrator who enhances the team's ability to build deep relationships with clients. Headquarters associates in St. Louis and Tempe provide support and expertise to help U.S. and Canada branch teams deliver an ideal client experience. Edward Jones currently has more branch offices than any other financial services firm, and we continue to grow to meet the needs of long-term individual investors.
Awards and Accolades
From FORTUNE Magazine, February 15, 2018 © 2018 Time Inc. Used under license. FORTUNE and Time Inc. are not affiliated with and do not endorse products or services of Edward Jones.
- For the 19th year, Edward Jones was named one of the “100 Best Companies to Work For®” by FORTUNE magazine in its annual listing. The firm ranked No. 5 overall. These 19 FORTUNE rankings include top 10 finishes for 15 years, top 5 rankings for eight years and consecutive No. 1 rankings in 2002 and 2003.
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.