Team Leader - Branch Audit

The 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 approach
• Lead 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.

• 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.

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.