Skip to Main Content
← Back to Jobs

Complaints Investigator, Legal

Missouri State Job Bank Saint Louis, MO
  • Expired: October 03, 2019. Applications are no longer accepted.

The Legal team at Edward Jones partners with all divisions across the firm to deliver comprehensive support to advise and address legal issues. In this growing, multifaceted team, you will be responsible for helping the firm achieve its strategic business objectives. Leading and influencing through change, your work will have a direct impact on supporting the growingcomplexity of our firm and industry.TheComplaints Investigatorwill be responsible for investigating and providing thorough, timely and professional responses to client complaints. In addition, the person will work to ensure the firm meets necessary regulatory requirements by coding matters for FINRA filings, including Forms U4 and U5, and will assist the firm with analyzing complaint data to identify trends and mitigate risk.Key Responsibilities:Conduct timely, thorough and professional investigations of client concerns in a manner consistent with the firm's culture, values, policies and proceduresAnalyze correspondence received from various interested parties (clients, attorneys, regulatory agencies, and authorized individuals) to assess risk, and determine appropriate response to sameProvide clear, concise and professional responses to complainants and authorized individuals and submit language for regulatory filingsAssist with ensuring the firm's compliance with regulatory reporting obligations resulting from the complaint processNegotiate settlements and propose and implement corrective action when appropriate to resolve complaintsCollaborate with firm counsel to assist with regulatory inquiries, investigations, arbitrations and litigationProvide information to leaders and appropriate business areas, based on complaint volumes and trends, to assist the firm in preventing reoccurrences of issues or related complaints in the futureBachelor's degree required; bachelor's in business-related field (e.g. finance, accounting) or experience with data manipulation (e.g. statistics, data analytics, trend reporting) preferredSeries 7, 9, 10, 24, 66 and Insurance licenses are required or must be obtained within 1 year of hireSecurities industry experience or Doctor of Jurisprudence (JD)Excellent analytical and problem-solving skillsSound judgment and an ability to appropriately assess riskExceptional verbal and written communication skillsStrong organizational and prioritization skills in a deadline-driven environmentEqual Opportunity Employerminorities/females/veterans/individuals with disabilities/sexual orientation/gender identity

Missouri State Job Bank


Saint Louis, MO
63108 USA