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Branch Auditor - Compliance

Location: Columbia
Posted on: November 19, 2023

Job Description:

At Edward Jones, we help clients achieve their serious, long-term financial goals by understanding their needs and implementing tailored solutions. To ensure a personal client experience, we have located our 15,000+ branch offices where our more than 7 million clients live and work.

In a typical branch office, a financial advisor meets with clients and receives branch office support, so they can focus on building deep relationships with clients. Headquarters associates in St. Louis, Tempe and Mississauga provide support and expertise to help U.S. and Canada branch teams deliver an ideal client experience. We continue to grow to meet the needs of long-term individual investors.
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 based on personal preference.

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 business
Provide verbal and written communication related to the outcome of the review, potential concerns or risk areas discussed, specific actions needed, and resources provided
Collaborate 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 effectiveness
Travel approximately 40% to 50% of the time (approximately two weeks per month) to conduct inspections and tailored compliance discussions

Series 7 and 63 or 66 licenses (or equivalent) required that are currently active
Series 9, 10, and 24 licenses required or must be obtained within 12 weeks of hire
Travel may be 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
Broad knowledge of financial services products, industry rules and regulations, and firm policies and processes; excitement to continuously learn about these topics
Demonstrate strong communication, active listening, problem solving, decision making, and organizational skills
Ability to build relationships and manage conflict with empathy and respect
Deliver results in a dynamic environment independently and through partnership with others

Candidates that live within in a commutable distance from our Tempe, AZ and St. Louis, MO home office locations are expected to work in the office three days per week, with preference for Tuesday through Thursday.

100 Best Workplaces for Millennials in 2022, published Fortune July 2022, Great Places to Work - data as of March 2022. Compensation provided for using, not obtaining, the rating. Edward Jones was recognized as one of the Best Workplaces for Millennials by Great Places to Work - and Fortune - magazine. The privately held firm ranked No. 2 overall, in its fourth appearance on the list.

2022 Fortune Best Workplaces for Women, published September 2022, research by Great Places to Work -, data as of August 2021. Compensation provided for using, not obtaining, the rating.Edward Jones has been named to the 2022 Best Workplaces for Women list by Great Places to Work - and Fortune - magazine, ranking No. 45.

2022 Fortune's 100 Best Companies to Work For, published April 2022, research by Great Place to Work -, data as of August 2021. Compensation provided for using, not obtaining, the rating.For the 23rd time, Edward Jones has earned a spot on the Fortune 100 Best Companies to Work For - ranking by Great Places to Work - and Fortune - magazine. Edward Jones ranked No. 35 on the prestigious 2022 list.
2022 Best Places to Work For LGBTQ+ Equality, Great Place to Work - in partnership with Human Rights Campaign Foundation, published Equity Magazine January 2022, data as of July 2021. Compensation provided for using, not obtaining, the rating. Edward Jones scored 100 percent on the Human Rights Campaign Foundation's 2022 Corporate Equality Index (CEI) the nation's foremost benchmarking survey and report measuring corporate policies and practices related to LGBTQ+ workplace equality. The ranking designated Jones as one of the best places to work for LGBTQ+Equality.

Edward Jones does not discriminate on the basis of race, color, gender, religion, national origin, age, disability, sexual orientation, pregnancy, veteran status, genetic information or any other basis prohibited by applicable law.
At Edward Jones, we value and respect our associates and their contributions, and we recognize individual efforts through a rewards program that promotes a long-term career, financial security and well-being. Visit our career site to learn more about our total compensation approach, which in addition to base salary, typically includes benefits, bonuses and profit sharing. The salary range for this role is based on national data and actual pay is based on skills, experience, education, and other relevant factors for a potential new associate:

Salary: $57721 - $95183
Category: Headquarters

Keywords: EDWARD JONES, Columbia , Branch Auditor - Compliance, Accounting, Auditing , Columbia, South Carolina

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