This job posting is anticipated to remain open for 30 days, from 06-Oct-2025. The posting may close early due to the volume of applicants.Join a financial services firm where your contributions are valued. Edward Jones is a Fortune 500\u00b9 company where people come first. With over 9 million clients and 20,000 financial advisors across the U.S. and Canada, we\u2019re 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.

\u00b9Fortune 500, published June 2024, data as of December 2023. Compensation provided for using, not obtaining, the rating.
Opportunity Overview
The Senior Director of Compliance and Legal Risk Management plays an important leadership role in safeguarding the integrity and reputation of the organization. This role is responsible for developing and overseeing compliance policies, regulatory initiatives, and risk management strategies that align with evolving regulatory expectations and business goals. This role leads the design and implementation of training programs that build compliance capabilities, promotes a strong culture of ethics and accountability and drives staff enablement across the enterprise. By integrating strategic oversight with operational excellence, this leader ensures that compliance is embedded into the fabric of the organization's decision making and risk posture.

What you'll do:Develop and Oversee Compliance Risk Management StrategyLead the design and execution of an integrated risk management framework to proactively identify, assess, mitigate, and monitor compliance risks across the organization.Ensure Regulatory Compliance and ReadinessMonitor evolving regulatory requirements and implement initiatives to ensure the organization maintains full compliance with applicable laws and standards.Establish and Maintain Compliance Policies and ProceduresCreate and update enterprise-wide compliance policies that reflect current regulations and best practices.Cultivate a Strong Culture of Ethics and IntegrityChampion ethical behavior, transparency, and accountability through leadership and alignment with organizational values.Lead Compliance Training and Education ProgramsDevelop and deliver targeted training programs to equip staff with the knowledge and tools to uphold compliance responsibilities confidently and competently.Drive Cross-Functional CollaborationPartner with legal, risk audit, business units, HR, and senior leadership to embed compliance into core operations and strategic initiatives.Enable and Empower Compliance teamsLead, mentor, and develop compliance associates to ensure high performance, strategic alignment, and professional growth.Establish and Maintain Lesson Learned Program Analyze and report on material internal and external events with impacts to clients, markets or the firm for lessons learned to proactively enhance our controls framework.Monitor and Report on Compliance PerformanceDevelop key metrics and dashboards to measure compliance effectiveness and report regularly.Lead Change and Continuous Improvement InitiativesDrive transformation efforts to modernize compliance programs, leveraging technology and innovation to increase agility and effectiveness.Knowledge of FINRA, SEC and state securities rulemaking frameworks and standards. Expertise/understanding in compliance risk management principles, policy and training development, risk appetites and risk assessments, and compliance risk metrics and reporting.
What you'll need:Bachelor's Degree required with 6+ years of experience in compliance and risk management.Experience with compliance governance and planning, policy management, training development, risk appetites and control assessments.Strategic thinking and decision making with proven leadership and influence.Ability to solve complex problems, effectively communicate and collaborate.Proven experience with regulatory interpretation and application, project/program management, risk awareness and control mitigation.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

Check out our Canadian awards and accolades: Insights & Information Blog Postings about Edward Jones

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.

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.