Team Leader - Branch Audit

Opportunity OverviewThe Branch Audit department is responsible for identifying and mitigating client and firm risk, while adding value to branch teams through fair, professional and thorough branch office audits. The branch audits are conducted annually and include a physical inspection of each branch office, as well as a compliance discussion with financial advisors and branch office administrators. The Branch Audit Team Leader position is responsible for the day-to-day leadership of a team of branch auditors to ensure the effective completion of all audit activities as required by various regulatory bodies. Branch auditors are responsible for performing required annual branch inspections and compliance discussions with branch associates.What You'll Do:Lead and develop a team responsible for conducting comprehensive risk assessments of financial advisor businesses and branch activities, including physical branch inspections and tailored consultations with Financial Advisors and Branch Office Administrators (BOAs).Establish clear performance expectations and provide ongoing oversight to ensure audits are completed accurately, consistently, and in accordance with regulatory requirements, firm policies, and quality standards.Attract, retain, and develop top talent by delivering effective training, coaching, and professional development opportunities that enable associates to excel and grow in the Branch Audit function.Ensure there is appropriate, effective and high quality communication with Branch Auditors, branch team, home office departments and regulators along with handling escalated situations from each group.Know and adhere to relevant industry rules and regulations, firm policies, and state-specific regulations.Provide guidance and handle escalations from associates, branch teams and home office associates regarding regulatory policies and processes, some of which may be complex and may involve rule interpretation.Build and maintain strong partnerships with key stakeholders to ensure legal, regulatory, and firm requirements are met, while gathering and sharing insights that influence departmental, divisional, and firm-wide communications and initiatives.Apply strategic thinking through assessment of discussions and statistical insights, and partner with key stakeholders to improve department and firm policies and processes, including the evolution of an enhanced-risk based audit approachLead complex and/or technical projects related to department, firm, and regulatory policies and processes.Manage operational oversight responsibilities, including reviewing audit itineraries and expense reports to ensure effective use of firm resources and compliance with established standards.Position RequirementsWhat Experience You'll Need:Bachelor's degree or equivalent experience.Series 7 and 63 or 66 (or equivalent) Series 9, 10 and 24 (or equivalent) required within 12 months.Graduate level degree and/or industry certification(s) is preferred.Minimum of 5 years' experience in financial services.Minimum of 1 year in people or project leadership or increased levels of responsibilities.This position requires broad knowledge in several areas including products, industry regulations, firm policies and processes.Must be able to effectively communicate, lead and manage relationships with a team of individuals located across the United States who are working from their homes 50% of the time and traveling 50% of the time.Ability to travel to conduct oversight of associates.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.Company DescriptionJoin a financial services firm where your contributions are valued. Edward Jones is a Fortune 500¹ company where people come first. With over 9 million clients and 20,000 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 or build your career. View our Purpose, Inclusion and Citizenship Report.¹Fortune 500, published June 2024, data as of December 2023. Compensation provided for using, not obtaining, the rating.Awards and AccoladesAt 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 JonesCheck out our Canadian awards and accolades: Insights & Information Blog Postings about Edward JonesPosition ScheduleFull-Time Posting LocationArizona, Tempe, Missouri, St. LouisExternal Flexible Work Option(s)HybridPosition TypeHome Office EEO StatementEdward 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.RecruiterMelissa CornwellSalary InformationEdward 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 January 1 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. For more information on the Benefits available to Edward Jones associates, please visit our benefits page.CountryUnited States Search Headquarters Positions by Area of InterestRegulatory and Compliance Req ID: 118036BR