Location: Hurley
provide support and expertise to help U. The Branch Audit Department plays a critical role in achieving the Compliance Division's purpose of promoting our clients' best interests and decisions that foster an environment of trust by continuously partnering together to strengthen our culture of compliance to enable the best client, branch team and associate experiences.
Through teams of Branch Auditors, the Branch Audit Department executes a risk-based audit program consisting of activities required by various regulatory bodies. Branch Auditors inspect branch offices and registered locations and conduct tailored compliance discussions with branch team members and associates to help protect
clients, branch teams and the firm. Louis or Tempe, be home based and work remotely or have a hybrid work arrangement based on personal preference. 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; Participate in department projects and initiatives with a focus on improving department processes and audit program effectiveness Travel approximately 40% to 50% of the time (approximately two weeks per month) to conduct inspections and tailored compliance discussions Travel may be 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; Deliver results in a dynamic environment independently and through partnership with others Louis, MO home office locations are expected to work in the office three days per week, with preference for Tuesday through Thursday.100 Best Workplaces for Millennials in 2022, published Fortune July 2022, Great Places to Work® data as of March 2022.
2022 Fortune Best Workplaces for Women, published September 2022, research by Great Places to Work®, data as of August 2021. Edward Jones has been named to the 2022 Best Workplaces for Women list by Great Places to Work® and Fortune® magazine, ranking No.
2022 Fortune's 100 Best Companies to Work For, published April 2022, research by Great Place to Work®, data as of August 2021. 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. 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.
Edward Jones does not discriminate on the basis of race, color, gender, religion, national origin, age, disability, interactionual orientation, pregnancy, veteran status, genetic information or any other basis prohibited by applicable law. At 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-being. The 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: For more details: jobs-search.
org/data-auditor_hurley-c436618/data-auditor-hurley_i1975996000
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