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Job Details

Associate General Counsel Leader Complaints

Company name
Edward Jones

Saint Louis, MO, United States

Employment Type


Posted on
Nov 04, 2021

Valid Through
Feb 17, 2022

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Associate General Counsel Leader – Complaints

The candidate will be leading the overall strategy of the Complaint Department, including setting annual strategy and objectives. Leading and developing other associates on the team, including a Leader and those associates responsible for investigating and responding to complaints, particularly those that involve the most legal and factual complexity and the most risk to the firm (e.g., complex products), and those that will involve the use of outside counsel. Leading a Complaint Assistant who is responsible for complaint intake and assignment. Developing associates through experiences working with other areas of the Division and firm to leverage their insights to improve the branch and client experience. Leading associates responsible for complying with regulatory reporting obligations. Developing and leading strategy for using complaints insights and data to identify trends, become more proactive and predictive, and educate others within the Division and firm about the conclusions and recommendations reached. Ensuring Complaint Investigators comply with regulatory reporting obligations related to individual complaints (e.g., U4 and U5 filings). Providing oversight of the development and maintenance of SOPs and WSPs for the core work of the Complaint Department. Leading associates that partner with Regulatory to respond to regulatory inquiries.

Additional Information

Job: #59194BR.

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