About Edward Jones
Edward Jones is a leading financial services firm in North America, operating in both the United States and Canada. With a network of over 20,000 financial advisors, the firm serves more than 9 million clients, managing a total of $2.2 trillion in client assets as of December 31, 2024.
At Edward Jones, our purpose is to create a positive impact by helping clients and colleagues improve their financial well-being—ultimately benefiting communities and society as a whole. With a dedicated team of approximately 54,000 associates, and a presence in 68% of U.S. counties as well as most Canadian provinces and territories, we are committed to helping individuals achieve their most important financial goals.
Are you passionate about auditing, compliance, and industry regulations? Do you enjoy conducting reviews and collaborating with others? If so, this opportunity may be the perfect fit for you!
The Branch Audit Department plays a vital role in supporting the Compliance Division’s mission—promoting client best interests and fostering trust within the firm. Through a team of Branch Auditors, the department executes a risk-based audit program to ensure compliance with regulatory requirements. Auditors conduct branch office inspections, assess registered locations, and engage in compliance discussions to help safeguard clients, branch teams, and the firm.
Branch Auditors can be based at our headquarters in St. Louis or Tempe, work remotely, or have a hybrid work arrangement.
Key Responsibilities
- Conduct risk-based reviews of business practices, processes, client accounts, and electronic records using data analytics, reports, and tailored discussions to assess compliance with industry regulations and firm policies.
- Partner with Financial Advisors and branch teams to support them in building a successful and compliant business through a client-focused approach.
- Deliver clear verbal and written communications regarding review outcomes, potential risks, required actions, and available resources.
- Collaborate with Financial Advisors, branch teams, and home office associates to address compliance issues, determine necessary follow-ups, and escalate concerns when appropriate.
- Participate in department initiatives and projects to enhance audit processes and program effectiveness.
- Travel 40% to 50% of the time (approximately two weeks per month) to conduct on-site inspections and compliance discussions.
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