Senior Paralegal - Compliance

Overview

This job posting is anticipated to remain open for 30 days, from 30-Jan-2026. 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 company where people come first. With over 9 million clients and 20,000 financial advisors across the U.S. and Canada, we’re 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.

Fortune 500, published June 2024, data as of December 2023. Compensation provided for using, not obtaining, the rating.

• Develop strong working relationships with attorneys, compliance professionals, branch offices, and internal business partners to act as a trusted legal and regulatory resource.
• Manage Reportable Event case files to ensure timely, accurate regulatory filings and to mitigate the risk of late or incomplete submissions.
• Independently review and analyze legal and regulatory documents, providing clear, actionable guidance to branch offices and Home Office associates.
• Serve as a primary point of contact for inquiries from branch personnel, internal partners, attorneys, government agencies, and other external stakeholders, responding professionally and in a timely manner.
• Perform work efficiently and accurately in a high-volume, fast-paced environment while managing multiple priorities and assessing regulatory risk and business impact.
• Conduct legal and regulatory research in collaboration with and under the guidance of firm attorneys.
• Develop and maintain a strong working knowledge of firm documentation, internal processes, and systems related to regulatory reporting and compliance.
• Maintain up-to-date knowledge of applicable state and federal statutes and regulatory requirements, including reporting obligations related to Forms U4, U5, and FINRA Rule 4530.
• Apply sound judgment and risk awareness when identifying issues, escalating concerns, and recommending next steps.

• Bachelor’s degree or an equivalent combination of education and relevant experience.
• Paralegal Certificate.
• Demonstrated experience reviewing, analyzing, or working with legal, regulatory, or compliance-related documents.
• Strong written and verbal communication skills, with the ability to explain complex regulatory requirements clearly and professionally.
• Proven ability to manage multiple priorities and meet deadlines in a high-volume, fast-paced environment.
• High attention to detail and strong organizational skills, with a consistent focus on accuracy and risk mitigation.
• Ability to work independently while collaborating effectively with attorneys, compliance professionals, and business partners.
• Comfort operating in environments with evolving regulations and shifting priorities.

• Experience in the financial services industry, particularly in compliance, risk management, legal support, or regulatory reporting.
• Familiarity with FINRA and SEC regulatory requirements, including Forms U4, U5, and FINRA Rule 4530.
• Experience interacting with regulators, government agencies, or external legal counsel.
• Prior experience working with internal case management or regulatory reporting systems.
• Demonstrated ability to adapt quickly and maintain effectiveness in a changing regulatory environment.

Candidates that live within a commutable distance from our Tempe, AZ and St. Louis, MO home office locations are expected to work in the office four days per week effective June 1, 2026. Before June 1, 2026, candidates that live within a commutable distance from our Tempe, AZ and St. Louis, MO home…