Branch Auditor

Edward Jones

1d•Remote

About The Position

As a Branch Auditor at Edward Jones, you'll be part of one of the largest branch inspection programs in financial services and help strengthen the practices, standards and culture that support our client-first commitment. Working independently and building trust with branch teams across the country, you'll help identify risk, improve processes and reinforce compliance expectations. Along the way, you'll leverage your financial services expertise and sound judgment to test for compliance in an effort to protect clients, support branch excellence and grow your career through ongoing development and broad exposure across the firm. This home-based role has the option to work from home office if desired and includes regular travel throughout your selected regions to conduct branch inspections and test compliance knowledge of branch teams. Auditors participate in a region selection process that provides greater input into travel locations and schedules, with a mix of driving-distance and fly-in assignments throughout the year.

Requirements

Active Series 7 or Series 6.
Series 7, 66/63, 9, 10, and 24 licenses (or equivalents) required or obtained within 12 weeks of hire.
Financial services industry experience with an understanding of branch operations, client accounts, products and regulatory requirements.
Strong verbal and written communication skills, with the ability to build relationships, navigate difficult conversations and communicate findings effectively.
Ability to work independently, manage competing priorities and stay organized while balancing travel, audit preparation and follow-up activities.

Nice To Haves

Experience in branch operations, client service, compliance, risk management, audit or other financial services support functions.
Experience coaching, influencing or consulting with financial professionals on business practices, policies or regulatory requirements.
Demonstrated ability to build trust quickly and establish productive working relationships with a variety of stakeholders.
Strong analytical and problem-solving skills, including the ability to identify trends, assess risk and make sound decisions.
Bachelor's degree or equivalent combination of education and experience.

Responsibilities

Conduct risk-based branch audit by reviewing client accounts, analyzing branch data and assessing business practices to identify potential risks and test for compliance with regulatory requirements.
Partner with financial advisors and branch teams during on-site and remote visits, using thoughtful questions and tailored compliance discussions to evaluate practices, share insights and build trusted relationships.
Coach branch teams on regulatory expectations and firm policies, helping reinforce a culture of compliance while creating a positive and productive audit experience.
Communicate findings, recommendations and required actions clearly and professionally through verbal discussion and written reports, follow-up discussions and presentations to key stakeholders.
Travel approximately 2 weeks per month in your selected regions. When not conducting on-site inspections, you'll have the flexibility to work independently while conducting remote audits, managing audit planning, reporting and follow-up activities.
Collaborate with colleagues across Compliance, Legal, Field Leadership and other business areas to address concerns, resolve issues, and escalate regulatory matters when appropriate.