Senior Paralegal - Compliance

Job Overview

Position

Schedule:

Full‑Time

Posting open 30‑Jan‑2026, may close early.

The Compliance area seeks a Senior Paralegal to support regulatory reporting and compliance activities across the firm.

• 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.

Edward Jones offers a comprehensive benefits package that includes medical, prescription drug, dental, vision, voluntary benefits (such as accident, hospital indemnity, and critical illness), short‑ and long‑term disability, basic life, and basic AD&DD coverage. Short‑ and long‑term disability, basic life, and basic AD&DD 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.

Minimum: $74,600;
Maximum: $122,800

• 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 office locations are expected to work in…