Branch Auditor (Legal)
Join a financial services firm where your contributions are valued. Edward Jones is a Fortune 500¹ company where people come first. With over 8 million clients and 19,000 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 2023, data as of December 2022. Compensation provided for using, not obtaining, the rating. Do you have a passion for auditing, firm policies, and industry regulations? Do you enjoy conducting reviews and working with others? If so, this might be the opportunity for you!
The Branch Audit Department plays a critical role in achieving the Compliance Division's purpose of promoting our clients' best interests and decisions that foster an environment of trust by continuously partnering together to strengthen our culture of compliance to enable the best client, branch team and associate experiences. Through teams of Branch Auditors, the Branch Audit Department executes a risk-based audit program consisting of activities required by various regulatory bodies. Branch Auditors inspect branch offices and registered locations and conduct tailored compliance discussions with branch team members and associates to help protect clients, branch teams and the firm.
Branch auditors could be based in our HQ offices in St. Louis or Tempe, be home based and work remotely or have a hybrid work arrangement.
Key Responsibilities
- Conduct risk-based reviews of business practices, processes, client accounts, and electronic records utilizing data analytics, reports, and tailored discussions to test the Financial Advisor and branch team's compliance with industry regulations and firm policies
- Partner with Financial Advisors and branch teams through a client-centric approach to assist them in building a successful and compliant business
- Provide verbal and written communication related to the outcome of the review, potential concerns or risk areas discussed, specific actions needed, and resources provided
- Collaborate to address potential issues or risk areas with Financial Advisors, branch teams, and home office associates; determine when additional follow-up or escalation to leadership or another area is needed
- Participate in department projects and initiatives with a focus on improving department processes and audit program effectiveness
- Travel approximately 40% to 50% of the time (approximately two weeks per month) to conduct inspections and tailored compliance discussions
What Experience You Need
- Series 7 and 63 or 66 licenses (or equivalent) required that are currently active
- Series 9, 10, and 24 licenses required or must be obtained within 12 weeks of hire
- Travel required 40-50% of the time (approximately two weeks per month) to conduct inspections and tailored compliance discussions
- Financial service experience is preferred
- Bachelor's degree is preferred
- Broad knowledge of financial services products, industry rules and regulations, and firm policies and processes; excitement to continuously learn about these topics
- Demonstrate strong communication, active listening, problem solving, decision making, and organizational skills
- Ability to build relationships and manage conflict with empathy and respect
- Deliver results in a dynamic environment independently and through partnership with others
- Candidates that live within in a commutable distance from our Tempe, AZ and St. Louis, MO home office locations are expected to work in the office three days per week, with preference for Tuesday through Thursday
