Financial Services Auditor
1 week ago
Edward Jones is seeking a highly skilled and detail-oriented Branch Auditor to join our team. As a Branch Auditor, you will play a critical role in ensuring the compliance of our financial services practices and processes with industry regulations and firm policies.
Key Responsibilities- Conduct risk-based reviews of business practices, processes, client accounts, and electronic records to identify potential compliance risks and areas for improvement.
- Partner with financial advisors and branch teams to provide guidance and support on compliance matters and to help them build a successful and compliant business.
- Communicate the results of reviews, potential concerns, and recommended actions to financial advisors and branch teams.
- Collaborate with other departments to address potential issues or risk areas and to determine when additional follow-up or escalation is needed.
- Participate in department projects and initiatives to improve department processes and audit program effectiveness.
- Series 7 and 63 or 66 licenses (or equivalent) required and 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.
Edward Jones is a Fortune 500 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. We're committed to building a place where everyone feels like they belong, and we're proud of our associates' contributions to the firm and the recognitions we have received.
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