Edward Jones

Team Leader - Branch Audit

Edward Jones • $95K — $115K *
St. Louis, MO 63129In-Person
Finance & Insurance
5 - 7 years of experience
Today
Be an Early Applicant
Job Overview by Ladders

Qualifications

  • Bachelor's degree or equivalent experience.
  • Must obtain Series 7 and 63 or 66 (or equivalent), Series 9, 10 and 24 (or equivalent) within 12 months.
  • Graduate-level degree and/or industry certifications preferred.
  • Minimum 5 years' experience in financial services.
  • Minimum 1 year in people or project leadership roles.
  • Broad knowledge of products, industry regulations, and firm-specific processes required.
  • Strong communication and relationship management skills across remote teams.

Responsibilities

  • Lead and develop a team conducting risk assessments and compliance discussions.
  • Establish performance expectations and oversee accurate audit completion.
  • Attract, retain, and develop talent through training and professional development.
  • Ensure effective communication with auditors, branch teams, and regulators.
  • Provide guidance on complex regulatory policies and handle escalations.
  • Build partnerships with stakeholders to meet legal and regulatory requirements.
  • Apply strategic thinking to enhance audit processes and policies.
  • Manage operational oversight of audit itineraries and expenses.

Benefits

  • Comprehensive medical, dental, and vision coverage.
  • Short- and long-term disability coverage at no cost.
  • 401(k) retirement plan with company matching.
  • Generous paid time off policies, including 15 vacation days.
  • Employee Assistance Program and paid volunteer time.
Full Job Description
Opportunity Overview

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.


Position Requirements

What 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.


Salary Information

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 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.

About Edward Jones

Edward Jones provides investment advisory and management services to individual investors. It also offers wealth management, retirement and college savings plans, insurance, and advisory services.

Edward Jones Careers

Join the thriving team at Edward Jones and be part of a company renowned for its commitment to professional growth and innovation. As a leader in the financial services industry, Edward Jones offers unparalleled job opportunities that empower you to shape your future and foster a culture of leadership and diversity.

Opportunities Await

At Edward Jones, we are constantly expanding our team with roles that challenge and reward our employees. Explore a range of positions that suit your skills and career ambitions, from entry-level to senior leadership roles. Whether you're looking for a full-time position or an internship, Edward Jones provides a platform for growth and learning.

Innovate and Lead

Step into a role at Edward Jones and join a culture steeped in innovation and leadership. Our professionals are at the forefront of developing new strategies for financial management, helping to drive the company forward while maintaining our commitment to client-centric solutions.

Grow With Us

Career growth is not just a possibility at Edward Jones—it is a promise. We are dedicated to your professional development through comprehensive training programs, leadership workshops, and continuous learning opportunities. Our commitment to your growth is matched by our dedication to diversity and inclusion, ensuring all team members have the opportunity to thrive.

Benefits and Culture

Edward Jones is committed to offering a supportive work environment where every team member feels valued. Enjoy competitive benefits, including health, retirement plans, and family-friendly policies that make balancing your professional and personal life easier. Our culture promotes teamwork, respect, and integrity, all foundational to our business ethos.

Join Our Team

Are you ready to take the next step in your career? Edward Jones is hiring! We are looking for passionate, curious, and driven individuals to join our team. Bring your unique skills and perspective, and help us continue to offer top-tier financial solutions to our clients.

Networking and Professional Development

Networking at Edward Jones goes beyond connecting with colleagues; it involves engaging with a broad community of professionals dedicated to financial excellence and client service. Enhance your career through our robust networking channels and gain insights that can propel you to new heights.

Prepare for Your Future

Starting your career at Edward Jones is made smoother with resources like resume tips, interview coaching, and job matching based on your skills and interests. Personalize your job search with our tailored career advice and discover how Edward Jones can be the key to your professional success.

Stay Connected

Keep up to date with the latest from Edward Jones Careers by subscribing to our job alert emails. Receive personalized updates that match your career interests and get ahead with insider tips and industry-leading insights.

Explore Edward Jones Jobs

Search open positions that align with your career goals at Edward Jones. We look for individuals who are solution-driven, creative, and eager to take on challenges. Explore the opportunities and find out how you can contribute to our team’s success.

Edward Jones: A Place Where Careers Flourish

At Edward Jones, your career is our priority. Join us and be part of a company that values innovation, leadership, and a diverse and inclusive workplace. Your journey to professional excellence starts here.
Learn more about Edward Jones
Size
50,000 employees
Industry
Finance & Insurance
Founded
1997
* Ladders Estimates

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