Branch Auditor - Tempe, United States - Edward Jones

Edward Jones

Verified Company

Tempe, United States

3 weeks ago

Posted by:

Mark Lane

beBee recruiter

Description

Want a meaningful career where you can make a difference? Edward Jones sounds perfect for you.
Collaboration. Autonomy. Opportunity. Words our headquarters associates use when talking about working at Edward Jones.

Words that describe what it's like being part of a firm where everyone is aligned toward a singular focus:
serving the client. And everyone is working to make the firm better together - as they grow as individuals. If these words resonate with you, we should talk.

Job Overview

Position Schedule:
Full-Time

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.

Key Responsibilities

Conduct riskbased 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 clientcentric 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 followup 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

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:

Hiring Minimum:
$59886

Hiring Maximum:
$98752

Skills/Requirements

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 required 4050% 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

Awards & Accolades
At Edward Jones, we are building a place where everyone feels like they belong. We're proud of our associates' contributions to the firm and the recognitions we have received.

Check out our U

S awards and accolades:
Insights & Information Blog Postings about Edward Jones

Check out our Canadian awards and accolades: Insights & Information Blog Postings about Edward Jones

About Us
Join a financial services firm where your contributions are valued. Edward Jones is a Fortune 5001 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.

Behind everything we do is our purpose: We partner for positive impact to improve the lives of our clients and colleagues, and together, better our communities and society.

We are an innovative, flexible, and inclusive organization that attracts, develops, and inspires performance excellence and a sense of belonging.

People are at the center of our partnership. Edward Jones associates are seen, heard, respected, and supported. This is what we believe makes us the best place to start