Senior Analyst - Investment Compliance

Your passion. Our purpose. This could be powerful.

Are you passionate about the markets? Do you excel in trust management or deep equity research? At Edward Jones, your passion will serve a meaningful purpose, focused on enhancing client relationships and helping people achieve their financial goals. Your work not only impacts lives but also offers remarkable work-life flexibility that could enhance your life too.

Job Overview

Position Schedule: Full-Time

This job posting is expected to remain open for 30 days, from 03-Oct-2025. Please note that it may close early due to a high volume of applicants.

Team Overview:

Join Edward D. Jones & Co, L.P., as a Senior Analyst on our Proprietary Funds Investment Guidelines (PFIG) team. Our primary goal is to oversee and execute daily investment guidelines while closely monitoring standards for the Bridge Builder Trust Mutual Funds and the Edward Jones Money Market Fund. You will play a crucial role in maintaining oversight programs designed to prevent potential violations of federal securities laws and regulations.

What You Will Do:

• Partner with stakeholders to evaluate, analyze, and oversee daily operational processes related to investment guidelines.
• Conduct thorough daily monitoring of post-trade compliance test results via Charles River (CRD), investigating exceptions and escalating significant findings.
• Monitor liquidity risk and manage money market fund programs.
• Participate in reviews with Olive Street Investment Advisers, LLC, and sub-advisers.
• Conduct quarterly Internal Revenue Service tax compliance testing.
• Engage in annual fund matrix review and procedure testing to ensure compliance.
• Identify and resolve investment guideline issues within the fund complex.
• Assist with sub-adviser due diligence and participate in compliance monitoring and questionnaire reviews.
• Prepare compliance documentation periodically, detailing results of fund guideline rules per departmental procedures.
• Effectively manage communications from overlay managers, sub-advisers, and internal stakeholders.
• Interpret and analyze fund investment guidelines, collaborating with fund administrators to ensure compliance.
• Develop strong relationships with internal stakeholders, sub-adviser firms, and service providers.
• Provide real-time guidance and advice on investment guideline matters to stakeholders.
• Research, analyze, and interpret current and proposed regulatory requirements.
• Implement and document new policies and procedures for mutual funds, Collective Investment Trusts, and investment advisers.
• Review and enhance existing policies and procedures as necessary.
• Serve as a subject-matter expert on assigned compliance matters.
• Support senior team members with routine tasks, data management, and new sub-adviser onboarding.

This position is internally recognized as Senior Analyst-Portfolio Admin.

Our compensation and benefits package includes medical, dental, and vision coverage, along with voluntary benefits. Short- and long-term disability, basic life, and AD&D are provided at no cost. We offer a 401k retirement plan and various tax-advantaged accounts. Associates enjoy 10 paid holidays, 15 vacation days, sick time, personal days, and volunteerism days. Bonuses and profit sharing opportunities are available, along with an Employee Assistance Program for all associates.

Hiring Minimum: $99,200

Hiring Maximum: $168,900

Consideration will be given to qualified applicants with arrest or conviction records in accordance with applicable laws. Edward Jones prohibits hiring individuals with specific criminal histories as set forth in finance regulations.

What Experience You Need:

• 10+ years in the asset management industry with a focus on regulatory compliance.
• Bachelor's degree in business, finance, pre-law, or equivalent experience.
• FINRA licenses Series 7 and Series 66 required within 6 months of hire.
• Familiarity with programs like Charles River Compliance System, Bloomberg, Refinitiv, and MyState Street preferred.
• Experience in preparing management and board reports.
• Extensive compliance experience related to equities preferred.
• Strong communication skills to articulate complex ideas to various audiences.

What Could Set You Apart:

• Previous experience in investment management and knowledge of investment products.
• Understanding of the Investment Company Act of 1940 and related compliance experience.
• Knowledge of sub-adviser and service provider oversight practices.
• Intermediate understanding of regulatory issues as applicable to our business model.
• Proficiency in creating spreadsheets and analyzing reports.
• Ability to engage with various technologies and software packages.

Candidates within commuting distance of our Tempe, AZ, and St. Louis, MO offices are expected to work in the office three days a week, preferably from Tuesday to Thursday.

Internal home-based associates: If selected, you may retain your home-based status despite this role being listed as hybrid.

About Us:

Join a financial services firm where your contributions are valued. Edward Jones, a Fortune 500 company, prioritizes people over profits, serving over 9 million clients through 20,000 financial advisors in the U.S. and Canada. Our mission focuses on positive impact and improving lives, fostering an innovative and inclusive environment that champions belonging and performance excellence.

Edward Jones is committed to non-discrimination in hiring and employment practices.