Branch Auditor
Edward D. Jones
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 ResponsibilitiesConduct 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 businessProvide verbal and written communication related to the outcome of the review, potential concerns or risk areas discussed, specific actions needed, and resources providedCollaborate 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 effectivenessTravel approximately 40% to 50% of the time (approximately two weeks per month) to conduct inspections and tailored compliance discussions
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 ResponsibilitiesConduct 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 businessProvide verbal and written communication related to the outcome of the review, potential concerns or risk areas discussed, specific actions needed, and resources providedCollaborate 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 effectivenessTravel approximately 40% to 50% of the time (approximately two weeks per month) to conduct inspections and tailored compliance discussions
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