Branch Auditor, CMPL

Edward Jones • Saint Louis, MO

376d • $59,886 - $98,752

About The Position

The Branch Auditor position at Edward Jones is a critical role within the Compliance Division, focused on promoting client interests and fostering a culture of compliance. Branch Auditors conduct risk-based audits of business practices and processes, ensuring adherence to industry regulations and firm policies. This role involves collaboration with Financial Advisors and branch teams to enhance compliance and operational effectiveness, with opportunities for remote or hybrid work arrangements.

Requirements

• Active Series 7 and 63 or 66 licenses required.
• Series 9, 10, and 24 licenses required or must be obtained within 12 weeks of hire.
• 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.
• Strong communication, active listening, problem solving, decision making, and organizational skills.
• Ability to build relationships and manage conflict with empathy and respect.

Nice To Haves

• Experience in financial services compliance or auditing.
• Familiarity with data analytics tools and techniques.

Responsibilities

• Conduct risk-based reviews of business practices, processes, client accounts, and electronic records utilizing data analytics and tailored discussions.
• Partner with Financial Advisors and branch teams to assist them in building a successful and compliant business.
• Provide verbal and written communication regarding the outcomes of reviews, potential concerns, and specific actions needed.
• Collaborate to address potential issues or risk areas with Financial Advisors, branch teams, and home office associates.
• Participate in department projects and initiatives focused on improving audit program effectiveness.
• Travel approximately 40% to 50% of the time to conduct inspections and compliance discussions.

Benefits

• Profit sharing
• Health savings account
• AD&D insurance
• Paid holidays
• Disability insurance
• Health insurance
• Dental insurance
• 401(k)
• Flexible spending account
• Employee assistance program
• Vision insurance

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Industry: Securities, Commodity Contracts, and Other Financial Investments and Related Activities
• Education Level: Bachelor's degree
• Number of Employees: 10,001+ employees