Sr Director, Compliance & Legal Risk Management

Want a meaningful career where you can make a difference? Edward Jones sounds perfect for you.

Collaboration. Autonomy. Opportunity. Words our headquarters associates use when talking about working at Edward Jones. Words that describe what it's like being part of a firm where everyone is aligned toward a singular focus : serving the client. And everyone is working to make the firm better together - as they grow as individuals. If these words resonate with you, we should talk.

Job Overview

Position Schedule : Full-Time

This job posting is anticipated to remain open for 30 days, from 06-Oct-2025. The posting may close early due to the volume of applicants.

Opportunity Overview

The Senior Director of Compliance and Legal Risk Management plays an important leadership role in safeguarding the integrity and reputation of the organization. This role is responsible for developing and overseeing compliance policies, regulatory initiatives, and risk management strategies that align with evolving regulatory expectations and business goals. This role leads the design and implementation of training programs that build compliance capabilities, promotes a strong culture of ethics and accountability and drives staff enablement across the enterprise. By integrating strategic oversight with operational excellence, this leader ensures that compliance is embedded into the fabric of the organization's decision making and risk posture.

What you'll do :

• Develop and Oversee Compliance Risk Management Strategy

Lead the design and execution of an integrated risk management framework to proactively identify, assess, mitigate, and monitor compliance risks across the organization.

Monitor evolving regulatory requirements and implement initiatives to ensure the organization maintains full compliance with applicable laws and standards.

Create and update enterprise-wide compliance policies that reflect current regulations and best practices.

Champion ethical behavior, transparency, and accountability through leadership and alignment with organizational values.

Develop and deliver targeted training programs to equip staff with the knowledge and tools to uphold compliance responsibilities confidently and competently.

Partner with legal, risk audit, business units, HR, and senior leadership to embed compliance into core operations and strategic initiatives.

Lead, mentor, and develop compliance associates to ensure high performance, strategic alignment, and professional growth.

Analyze and report on material internal and external events with impacts to clients, markets or the firm for lessons learned to proactively enhance our controls framework.

Develop key metrics and dashboards to measure compliance effectiveness and report regularly.

Drive transformation efforts to modernize compliance programs, leveraging technology and innovation to increase agility and effectiveness.

Expertise / understanding in compliance risk management principles, policy and training development, risk appetites and risk assessments, and compliance risk metrics and reporting.

Edward Jones' compensation and benefits package includes medical and prescription drug, dental, vision, voluntary benefits (such as accident, hospital indemnity, and critical illness), short- and long-term disability, basic life, and basic AD&D coverage. Short- and long-term disability, basic life, and basic AD&D 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. For more information on the Benefits available to Edward Jones associates, please visit our benefits page .

Hiring Minimum : $168500

Hiring Maximum : $286900

Read More About Job Overview

Skills / Requirements

What you'll need :

Read More About Skills / Requirements

Awards & Accolades

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 Jones

Check out our Canadian awards and accolades : Insights & Information Blog Postings about Edward Jones

Read More About Awards & Accolades

About Us

Join a financial services firm where your contributions are valued. Edward Jones is a Fortune 500¹ 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 .

¹Fortune 500, published June 2024, data as of December 2023. Compensation provided for using, not obtaining, the rating.

Edward 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.

#LI-HO