Compliance Branch Auditor Job at Edward Jones
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.
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 Auditor is responsible for conducting field audits of Edward Jones branches within a specific audit schedule, to ensure that all branches fully comply with applicable firm policies and regulatory rules.
- Conducts visits on approximately 150 branch offices in Canada each year, which includes a mixture of virtual visits as well as travel to branch locations, including some air travel and overnight stays.
- Responsible for scheduling and booking all travel arrangements and audits.
- Prepare for branch audit by reviewing electronic records, past audit results, branch's book of business, and branch notes.
- Conducts Branch visit including branch inspection, review of physical books and records, discuss and educate Branch associates on pertinent compliance topics.
- Projects as assigned by Leader.
- Post-audit responsibilities include:
- preparation of an audit summary report in respect of each branch visited, indicating the audit grade and detailing findings, recommendations and requirements - for approval by supervisor.
- communication of audit results and requirements to the Advisor and BOA in formal report,
- review of the adequacy of the branch responses to ensure all issues are addressed,
- communication of issues and decisions as appropriate to relevant home office associates (for example, to enable further investigation and internal discipline where warranted),
- in the case of audits with a grade of "Unsatisfactory", revisit the branch within 3 to 6 months to confirm correction of findings cited in audit report.
- follow up on all action items with branch team, by phone or email to confirm the correction of findings
- track all audits and findings with follow up details.
- Canadian Securities Course, Conduct and Practices Handbook required or must be obtained within 1 year of hire
- University degree in a business related field preferred
- Professional designation(s) related to financial planning considered an asset
- Minimum of 2 years industry experience required
- Compliance or supervisory experience is preferred
- Strong knowledge required of:
- relevant rules and policies of regulators
- requirements, policies and procedures of the firm
- products/ solutions offered by the firm, and
- the firm's supervisory systems
- Technical skills, including the use of Microsoft Office, and the ability to learn job-specific software and adapt to technological changes as they arise
- Continual awareness of the regulatory environment, securities industry developments & current issues is also required
- Must be able to work autonomously and communicate even difficult messages clearly & tactfully, verbally and in writing.
- Previous exposure in financial planning and discretionary/managed accounts considered an asset
- Client and branch centric individual
- 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.
Please Note :
nvalabs.org is the go-to platform for job seekers looking for the best job postings from around the web. With a focus on quality, the platform guarantees that all job postings are from reliable sources and are up-to-date. It also offers a variety of tools to help users find the perfect job for them, such as searching by location and filtering by industry. Furthermore, nvalabs.org provides helpful resources like resume tips and career advice to give job seekers an edge in their search. With its commitment to quality and user-friendliness, Site.com is the ideal place to find your next job.