Job details
Job type full-time
Full job description
At edward jones, we help clients achieve their serious, long-term financial goals by understanding their needs and implementing tailored solutionsTo ensure a personal client experience, we have located our 14,000+ branch offices where our more than 7 million clients live and work.
A typical branch office has one financial advisor who meets with clients face-to-face and one branch office administrator who enhances the team`s ability to build deep relationships with clientsHeadquarters associates in stLouis and tempe provide support and expertise to help u.sAnd canada branch teams deliver an ideal client experienceEdward jones currently has more branch offices than any other financial services firm, and we continue to grow to meet the needs of long-term individual investorsOur purpose at edward jones is to partner for positive impact – to improve the lives of our clients and colleagues, and together, better our communities and societyThe branch audit department within the compliance division is responsible for performing the required branch inspections of our branch offices to detect and prevent violations of, and achieve compliance with, applicable securities laws, regulations, and rules along with compliance policyTo be successful branch audit must continuously evolve programming to align with firm business, current supervisory trends, and ongoing industry change to mitigate risk and deliver the highest value to our clients, branch teams, and the firm.
The branch audit inspection program is completed by eight teams with associates and leaders eligible to work from home or at either our stLouis or tempe home officesAssociates within the department travel to our branch locations throughout the yearThe branch audit department leader is responsible for five team leaders who lead teams of approximately nine associates and the department`s compliance assistant roleThe department leader is responsible to the branch audit director.
Key responsibilities
Ensure the work of the department is completed in a thorough and timely manner in alignment with department guidance and firm and industry policies and regulations
Identification and mitigation of risk to clients, branch teams, and the firm through effective audit programming, processes, and procedures
Provide leadership, oversight, resources, coaching and guidance to team leaders
Attraction, development, engagement, and retention of leaders and associates
Make decisions or provide guidance on significant audit related or personnel issues that will routinely involve areas that are greyMany decisions will require some level of rule interpretation as well as a thoughtful, detailed, and well documented approach.
Lead projects that evolve the department systems and processes or provide leadership and guidance to team leaders with project leadership responsibilities
Represent department with other areas of the firm and participate in division and firm projects
May be asked to represent the work of the department to finra or state regulators
Assist the director or partner with strategic planning, execution, and continuous improvement of department programs, systems, and processes to support an ever-evolving department
Support director in ensuring proper department staffing of associates and leaders with the required skills, knowledge, competencies, and resources to effectively accomplish department objectives
Minimum of five years industry experience, with at least three years in a compliance or supervisory role
Series 7, 63 or 66, 9, 10, 24, and insurance license required or obtained within six months of hire
Strong knowledge of industry regulations and rules surrounding branch offices, firm policies and procedures, and firm culture
Bachelor`s degree or equivalent experience is strongly preferred
Two years of significant project management with tangible results preferred
A minimum of one-year people of project leadership preferred
Ability to solve complex issues independently and in some cases with little guidance while complying with industry rules and firm policies
Strong written and verbal communication skillsEffective communication with all levels of associates, branch teams, firm leaders and partners, regulators, and industry professionals
Thorough understanding of responsibility-based management to lead large number of individuals working in different locations
Some travel may be required
Fortune 2020 – edward jones was named no7 on the 2020 fortune 100 best companies to work for® list.
From fortune ©2020 fortune media ip limitedAll rights reservedUsed under licenseFortune and fortune 100 best companies to work for are registered trademarks of fortune media ip limited and are used under licenseFortune and fortune media ip limited are not affiliated with, and do not endorse products or services of, edward jones investments.
Edward jones ranked no6 of the 100 best workplaces for millennials by great place to work and fortune magazine.
2020 corporate equality index – edward jones joins the ranks of 680 major u.s businesses that received top marks in the hrc foundations 18th annual scorecard on lbgtq workplace equality
Edward jones named a top company for training, ranking no25 on training magazine`s 2020 training top 125 list – the highest ranking among the financial-services industry!
Financial services firm edward jones has been named one of the 2019 best workplaces for parents by great place to work and fortune magazineThe firm ranked no5 on the list of 50 companies, up two spots from last year.
The best workplaces for parents list is one of a series of rankings by great place to work and fortune based on employee feedback from great place to work-certified™ organizationsEdward jones ranked no7 on the fortune 100 best companies to work for in 2019 list, the firm’s 20th appearance on the listThe firm also was ranked the no1 best workplace in financial services & insurance and the no6 best workplace for millennials by great place to work and fortune.
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 lawAt 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-beingVisit our career site to learn more about our total compensation approach, which in addition to base salary, typically includes benefits, bonuses and profit sharingThe 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:
