Opportunity Overview: This position will provide support to Edward Jones' investment management operations, including its proprietary mutual funds and its investment advisory programs, including Advisory Solutions and Guided Solutions. This position requires a depth of understanding of the Investment Company Act of 1940 and the Investment Advisors Act of 1940 in order to provide interpretations and legal analysis related to the firm's business.
* Prepare, review and/or coordinate mutual fund registration statements, proxy and information statements, shareholder reports, Forms ADV (including brochures relating to Edward Jones' investment advisory programs) and investment company and investment adviser marketing materials and communications. This includes collaborating with leaders and associates in other divisions and managing the review process of these items by internal business leaders and external legal counsel. * Prepare for and the conduct periodic investment company board meetings and ensure necessary follow-up matters are completed. * Manage and coordinate the annual 15(c) investment advisory contract review process, including identification of all legal requirements, and assist in the assembly and review of required reports and information. * Review, consider and recommend enhancements to the documents, and improvements to the processes used, to achieve greater clarity and to mitigate risk. * Monitor and consider the implications of legal developments under the relevant Acts (including Section 36(b) litigation and regulatory "sweeps") and perform daily reviews of regulatory releases and proposals while participating in the preparation of necessary summaries of material releases and proposals. * Under the supervision of the Leader of the Fiduciary Team, coordinate, review, negotiate and/or prepare contracts relating to the Edward Jones proprietary mutual fund and investment advisory program operations including vendor agreements, advisory, sub-advisory and selling agreements, M&A agreements and, to the extent necessary, agreements relating to portfolio management operations (e.g., ISDA agreements, MRAs, OTC derivatives, etc.). * Assist in the preparation, review and/or coordination of requests for exemptive orders and no-action relief with respect to Edward Jones' proprietary mutual fund and investment advisory program operations. * Provide legal support to Compliance Division, including providing legal advice to the chief compliance officers of Edward Jones' investment adviser subsidiaries and proprietary mutual funds, in connection with regulatory examinations and legal issues arising in the context of compliance monitoring and review under applicable compliance policies and procedures or written supervisory procedures.
* Requires J.D. and license to practice law in Missouri or an equivalent state * Requires a minimum of 8 years of progressive responsibility with direct experience in advising clients with respect to matters arising under the Investment Company Act of 1940 and the Investment Advisers Act of 1940 * Demonstrated ability to analyze and resolve complex matters * Commitment to a high level of ethics, professionalism, and confidentiality * Highly organized, detail-oriented, resourceful, and adaptable to changing priorities * Strong verbal and written communication skills and strong interpersonal skills