Jobs at Benjamin F. Edwards

Supports counsel and the Manager of Legal Services by analyzing legal, regulatory, compliance, and client-account matters. Responsibilities include responding to inquiries, complaints, subpoenas, examinations, and disputes; researching legal issues; preparing regulatory filings; managing account restrictions and vulnerable-adult matters; supporting investigations and litigation; coordinating with outside counsel, regulators, clients, and internal teams; and maintaining legal records.

Provides senior legal counsel to a multi-state broker/dealer and investment adviser, advising on transactions, regulatory compliance, risk mitigation, contracts, employment matters, investigations, client protection policies, litigation, and industry regulators. Supervises legal personnel, manages outside counsel, oversees complaints and subpoenas, and supports business units across the organization. Requires a Juris Doctor, Missouri Bar membership, at least seven years of legal experience, and five years in financial services.

Provides legal counsel to a multi-state broker/dealer and investment advisor, handling regulatory matters, agreements, legal research, subpoenas, court orders, investigations, filings, and outside counsel management. The role supports firm divisions, responds to inquiries, advises on third-party legal actions, and manages complex financial-services legal matters.

Supports Financial Advisors and clients by managing account openings, maintenance, document processing, client inquiries, reporting, scheduling, financial planning software data entry, and regulatory recordkeeping. The role researches and resolves account issues, coordinates with branch and home office teams, assists with client prospecting activities, prepares meeting materials, and provides administrative and backup support in an office environment.

Supports financial advisors with client service, financial information gathering, financial plan development, portfolio monitoring, investment research, meeting preparation, account order execution, and client relationship management. Uses financial planning, wealth management, CRM, and brokerage technology platforms. Also assists with marketing campaigns, events, webinars, and seminars while progressing toward CFP certification and maintaining required securities licenses.

Supports lead financial advisors with client financial planning, portfolio monitoring, investment research, client meeting preparation, account execution, and relationship management. Uses financial planning, wealth management, CRM, and brokerage platforms to analyze client information and deliver timely service. Also assists with marketing campaigns, events, webinars, and seminars. Requires securities licensing, a finance-related bachelor’s degree, and 3–5 years of financial services experience.

Monitors client accounts and financial advisor activity for compliance with FINRA, SEC, and firm policies. Conducts trade surveillance, investigates suspicious activity, evaluates exceptions, recommends corrective actions, and develops prevention controls. Advises branch and home office staff, collaborates with compliance personnel, supports surveillance tools and reporting, drafts compliance communications, and provides regulatory expertise and updates to management.