Sr Director, Compliance & Risk

This job posting is anticipated to remain open for 30 days, from 13-Feb-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 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.

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.

* Ensure Regulatory Compliance and Readiness

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

* Establish and Maintain Compliance Policies and Procedures

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

* Cultivate a Strong Culture of Ethics and Integrity

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

* Lead Compliance Training and Education Programs

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

* Drive Cross-Functional Collaboration

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

* Enable and Empower Compliance teams

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

* Establish and Maintain Lesson Learned Program

* 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.

* Monitor and Report on Compliance Performance

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

* Lead Change and Continuous Improvement Initiatives

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

* Knowledge of FINRA, SEC and state securities rule making frameworks and standards.

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

What you'll need:

* Bachelor's Degree required with 6+ years of experience in compliance and risk management.

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