Branch Auditor, CMPL

Key Responsibilities Conduct 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%‑50% of the time (approximately two weeks per month) to conduct inspections and tailored compliance discussions. Qualifications Series 7 and 63 or 66 licenses (or equivalent) required and currently active. Series 9, 10, and 24 licenses required or must be obtained within 12 weeks of hire. Travel 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. Location and Work‑From‑Office Expectations: Candidates that live within a commutable distance from our Tempe, AZ and St. Louis, MO home office locations are expected to work in the office four days per week effective June1,2026; before June1,2026, candidates that live within a commutable distance are expected to work in the office three days per week, with preference for Tuesday through Thursday. Benefits Edward Jones’ compensation and benefits package includes medical and prescription drug, dental, vision, voluntary benefits (such as accident, hospital indemnity, and critical illness), short‑ and long‑term disability, basic life, and basic AD&D coverage. Short‑ and long‑term disability, basic life, and basic AD&D coverage are provided at no cost to associates. Edward Jones offers a 401k retirement plan, and tax‑advantaged accounts: health savings account, and flexible spending account. Edward Jones observes ten paid holidays and provides 15 days of vacation for new associates beginning on January1 of each year, as well as sick time, personal days, and a paid day for volunteerism. Associates may be eligible for bonuses and profit sharing. All associates are eligible for the firm's Employee Assistance Program. Equal Employment Opportunity Statement 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. Background Screening and Fair Chance Qualified applicants with arrest or conviction records will be considered for employment in accordance with the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act. Edward Jones is prohibited from hiring individuals with certain specified criminal history as set forth in Section3(a)(39) and15(b)(4) and Rule17a-3(a)(12) of the Securities and Exchange Act of1934, and conducts background reviews consistent with FINRA Rule3110(e). A copy of a notice regarding the provisions of the Los Angeles County Fair Chance Ordinance is available at a provided link. #J-18808-Ljbffr