What are the responsibilities of the position?
What qualifications would an ideal candidate possess?
- Experience investigating legal complaints
- Regulatory experience
- Familiarity with the financial services industry
- Investigative curiosity.
- Comradery is very important to the team so successful candidates will also place a high
value on comradery.
Independent and self-directed with the ability to take directionWhat qualifications would not be a fit for this position?
This is not an administrative position so someone with an administrative backgroundwould not be successful in the role.
Edward Jones has a service mindset and strives to resolve complaints by doing the rightthing. Therefore, candidates with a punitive legal approach would not be a good fit.
As previously mentioned, comradery is very important to the team so candidates whoare aggressive rather than cooperative, or competitive rather than supportive would not
be successful in the role.
Everyone on the team pitches in wherever they are needed so candidates who feel theyare above some tasks would not be successful in the role.
What are the responsibilities of the position?
Investigate legal complaints and provide responsesAnalyze complaint data to identify trends and mitigate risk.Ensure all regulatory requirements and reporting obligations are metSubmit regulatory filings languageAssist with regulatory inquiries, investigations, arbitrations, litigation, settlements,etc.
What are the qualifications for the role?
Required
Bachelor's degree is required (preferably in finance, accounting, or a related field)Excellent analytical and problem-solving skillsSound judgment and an ability to appropriately assess riskExceptional verbal and written communication skillsStrong organizational and prioritization skills in a deadline-driven environmentPreferred
Doctor of Jurisprudence (JD)Experience with data manipulation such as trend reporting, statistics, dataanalytics, etc.
Series 7, 9, 10, 24, 66Securities industry experience
