Branch Compliance Specialist
2 months ago
Edward Jones is seeking a highly skilled Branch Auditor to join our team. As a Branch Auditor, you will play a critical role in ensuring the firm's compliance with industry regulations and firm policies.
Key Responsibilities:- Conduct risk-based reviews of business practices, processes, and client accounts to ensure compliance with industry regulations and firm policies.
- Partner with Financial Advisors and branch teams to provide guidance and support in building a successful and compliant business.
- Communicate the outcome of reviews, potential concerns, and specific actions needed to Financial Advisors and branch teams.
- Collaborate with Financial Advisors, branch teams, and home office associates to address potential issues or risk areas.
- 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.
At Edward Jones, we value and respect our associates and their contributions. We offer a competitive salary, benefits, bonuses, and profit sharing. Our total compensation approach promotes a long-term career, financial security, and well-being.
About Us:Edward Jones is a Fortune 500 company where people come first. We're proud to be privately-owned, placing the focus on our clients rather than shareholder returns. Our purpose is to partner for positive impact to improve the lives of our clients and colleagues, and together, better our communities and society.
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