EDWARD JONES Branch Auditor, CMPL in Saint Louis, Missouri

The Branch Audit department is searching for a branch auditor to conduct compliance audits of the firm's branch offices. The department is responsible for identifying and mitigating client and firm risk, while adding value to the branch team and firm though fair, professional and thorough branch office audits.Key Responsibilities:Travel approximately two weeks per month to conduct branch inspections and compliance discussions of Edward Jones branch officesPrepare for audits by reviewing electronic records, past audit findings and branch business practices in order to conduct branch inspections and customized compliance discussions with branch personnelIdentify potential issues and risk areas for clients and the firm, conducting appropriate follow-up and completing a written summary report for each audit completed.Participate in department projects and initiatives with a focus on improving department processes and audit effectiveness50% travel required (approximately two weeks per month)Series 7 license and Series 63 or 66 license required for a minimum of two yearsSeries 24, 9 and 10 required or must be obtained within the first 12 weeks of hire. If exams are not passed on 2 tries, another position must be sought within 30 days or employment is terminated.Minimum of 2 years financial services industry experience requiredFinancial services product knowledge requiredCompliance or financial services supervisory experience preferredStrong communication, problem solving, decision making and organizational skills necessaryStrong relationship building and conflict management skills are requiredMust be results focused with the ability to work in an autonomous environmentBachelor's degree is preferredVEVRAA Federal ContractorEqual Opportunity Employerminorities/females/veterans/individuals with disabilities/sexual orientation/gender identity