Investment Guidelines Analyst - Columbia, United States - Edward Jones

Edward Jones Columbia, United States

4 weeks ago

Description

Join a financial services firm where your contributions are valued. Edward Jones is a Fortune 5001 company where people come first. With over 8 million clients and 19,000 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.1Fortune 500, published June 2023, data as of December 2022. Compensation provided for using, not obtaining, the rating.

Team Overview:
Edward D. Jones & Co, L.P.

("Edward Jones") is seeking a Fund Investment Guidelines Specialist II for our Proprietary Funds Investment Guidelines ("PFIG") team, whose primary goal is overseeing and executing daily investment guidelines and monitoring functions over the Bridge Builder Trust Mutual Funds and Edward Jones Money Market Fund, as well as providing meaningful contributions to the success of multiple oversight programs that are designed to prevent, detect, and assist in resolving potential violations of federal securities laws and regulations for Edward Jones Fund complex, and Service Providers.

As a member of the PFIG team, you will be interacting with multiple asset management teams and service providers in the industry, as well as stakeholder across Edward Jones.

What You Will Do:

The core focus of the PFIG team is to partner with stakeholders, evaluate, analyze, oversee, and execute the daily first line investment guidelines operations processes: Performs daily monitoring of post-trade portfolio compliance test results generated by Charles River (CRD).

Research each exception and escalate potential breaches and other significant findings to the Investment Guidelines management team. Daily monitoring of liquidity risk and money market fund programs. Participates in Olive Street Investment Advisers, LLC, and respective sub-adviser 15(c) reviews. Completes Internal Revenue Service tax compliance testing on a quarterly basis. Participates in annual fund matrix review and procedure testing exercises. Identifying, analyzing, and resolving investment guidelines issues across the fund complex. Assists with overseeing subadviser due diligence, investment compliance monitoring, facilitating and reviewing quarterly questionnaires.

Prepares periodic (daily, weekly, monthly etc.) compliance documentation, including results of all automated and manual fund guideline rules in accordance with departmental procedures.

Effective monitoring of the investment guidelines' mailbox for communications from overlay manager, sub-advisers, internal stakeholders, and service providers. As an associate within Investment Guidelines team, you will interact with various internal business departments across Edward Jones.

As a team member, you will primarily be responsible for interpreting and analyzing the fund investment guidelines and partnering with the fund administrators in applying them into the compliance system.

Developing and maintaining relationships with internal stakeholders, sub-adviser firms, and key service providers. Provide real-time leadership advice and guidance to the stakeholders on investment-related guidelines matters. Researching, analyzing, and interpreting current, new, and proposed regulatory requirements. Implementing and documenting new policies and procedures relating to mutual funds, Collective Investment Trusts, and investment advisers. Reviewing, analyzing, and testing current policies and procedures; identifying, recommending, and implementing new and/or enhanced practices. Serving as a subject-matter expert on assigned compliance-related matters.

Assists senior level team members with additional routine and more senior tasks and assignments (i.e., data management, new sub-adviser on boarding, etc.).

*This position is known internally as a Specialist II-Fund Admin

What Experience You Need: 5+ years of related experience in asset management industry focusing on regulatory, securities, or investment compliance experience.

Bachelor's degree in business, Finance, pre-law, or equivalent education and experience. Securities licenses Series 7 and Series 66 required within 6 months of hire.

Familiarity with the following programs strongly preferred:
Charles River Compliance System, Bloomberg, Refinitive, and MyState Street. Proficient with Microsoft Office 365. Experience in preparing periodic and/or ad hoc Management and Board reporting. Extensive Compliance experience related to equities and/or global equities.

Ability to effectively communicate (verbal and written) complex ideas, processes, and situations to various audiences including senior business stakeholders, investment analysts, portfolio managers, and various oversight committees.

The ideal candidate is entrepreneurial, collaborative, and able to work independently on daily tasks while taking responsibility for seeing projects through to their completion.

Demonstrates organization and time management skills to be able to meet deadlines.

Desire to work in fast-paced environment with a high attention to detail that is at the cutting edge of investment management innovation.

Excellent writing skills, including experience writing memoranda, and policy and procedure documents. Ability to balance multiple priorities and demands concurrently.

What Could Set You Apart:
Experience working in the investment management industry and knowledge of investment products strongly preferred.

Working knowledge, understanding and experience with the Investment Company Act of 1940, Securities and Exchange Act of 1933, Securities Exchange Act of 1934, and Mutual Fund Compliance experience preferred.

Strong understanding of the sub-adviser and service provider oversight relationships, including participation in due diligence meetings, sub-adviser and service provider outreach, enhancements to policies and procedures (as necessary), and continued monitoring of sub-adviser and service provider risk practices.

Understands and applies intermediate knowledge of product/tool/systems, regulatory issues, with the ability to apply the knowledge to the Edward Jones business model, philosophies, and values.

Proficient at creating spreadsheets, creating, and analyzing reports, developing measures and external resources.

Comfortable working across multiple functions, geographies and partners with maturity and judgement Familiarity with completing the annual prospectus, Statement of Additional Information guideline review and facilitate changes to compliance monitoring system rule coding, as needed.

Work in ambiguous and overly complex situations, create clarity, demonstrate sound judgement, and drive towards effective outcomes. Work well under pressure and meet critical deadlines in a very time sensitive environment. Ability to comprehend complex data sets. Comfortable engaging various technologies and software packages like Diligent and Smartsheet. Superb critical thinking and problem-solving abilities. *Candidates that live within in a commutable distance from our Tempe, AZ and St.

Louis, MO home office locations are expected to work in the office three days per week, with preference for Tuesday through Thursday.

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 JonesCheck out our Canadian

awards and accolades:

Insights & Information Blog Postings about Edward JonesEdward 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.

At Edward Jones, we value and respect our associates and their contributions, and we recognize individual efforts through a rewards program that promotes a long-term career, financial security and well-being.

Visit our career site to learn more about our total compensation approach, which in addition to base salary, typically includes benefits, bonuses and profit sharing.

The salary range for this role is based on national data and actual pay is based on skills, experience, education, and other relevant factors for a potential new associate:

Salary:
$ $116516Category: Headquarters

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