Branch Auditor

About the role

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.

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

Requirements

• 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
• 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
• Deliver results in a dynamic environment independently and through partnership with others

Qualifications

• Bachelor's degree is preferred

Skills

• Strong communication, active listening, problem solving, decision making, and organizational skills
• Ability to build relationships and manage conflict with empathy and respect

Benefits

• Medical and prescription drug, dental, vision, voluntary benefits (such as accident, hospital indemnity, and critical illness)
• Short- and long-term disability, basic life, and basic AD&D coverage
• 401(k) retirement plan, and tax-advantaged accounts: health savings account, and flexible spending account
• Ten paid holidays and 15 days of vacation for new associates beginning on January 1 of each year, as well as sick time, personal days, and a paid day for volunteerism
• Eligibility for bonuses and profit sharing
• Employee Assistance Program

Pay

Compensation provided for using, not obtaining, the rating.

Schedule

Travel required 40-50% of the time (approximately two weeks per month) to conduct inspections and tailored compliance discussions.

Equal Opportunity Employer

Edward Jones is prohibited from hiring individuals with certain specified criminal history as set forth in Section 3(a)(39) and 15(b)(4) and Rule 17a-3(a)(12) of the Securities and Exchange Act of 1934, and conducts background reviews consistent with FINRA Rule 3110(e).