Overview

This job posting is anticipated to remain open for 30 days, from 15-Jul-2026. The posting may close early due to the volume of applicants. Join a financial services firm where your contributions are valued. Edward Jones is a Fortune 500 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 . Fortune 500, published June 2024, data as of December 2023. Compensation provided for using, not obtaining, the rating.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. Branch auditors could be based in our HQ offices in St. Louis or Tempe, be home based and work remotely or have a hybrid work arrangement.Key ResponsibilitiesConduct 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 businessProvide verbal and written communication related to the outcome of the review, potential concerns or risk areas discussed, specific actions needed, and resources providedCollaborate 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 neededParticipate in department projects and initiatives with a focus on improving department processes and audit program effectivenessTravel approximately 40% to 50% of the time (approximately two weeks per month) to conduct inspections and tailored compliance discussions Series 7 and 63 or 66 licenses (or equivalent) required that are 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 At Edward Jones, we are building a place where everyone feels like they belong. We're proud of our associates' contributions to the firm and th