**Want a meaningful career where you can make a difference? Edward Jones sounds perfect for you.** Collaboration. Autonomy. Opportunity. Words our headquarters associates use when talking about working at Edward Jones. Words that describe what it's like being part of a firm where everyone is aligned toward a singular focus: serving the client. And everyone is working to make the firm better together - as they grow as individuals. If these words resonate with you, we should talk. **Job Overview** **Position Schedule:** Full-Time This job posting is anticipated to remain open for 30 days, from 02-Dec-2025. The posting may close early due to the volume of applicants. 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. **Key Responsibilities:** • Lead a team responsible for completing a thorough analysis and assessment of risk for a financial advisors business and branch activities, along with a physical branch inspection and a tailored discussion with the financial advisor and Client Support Team. • Set clear expectations to ensure that reasonable and quality audits are completed by the team. • Attract and develop talent to meet the current and future needs for the department and firm. • Ensure associates receive the training and development needed to become and remain effective in the Branch Audit role. • Provide appropriate oversight of the department including ensuring all audits are completed with a high degree of quality, and within industry regulations and department policies. • 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. • Maintain relationships and partner with key stakeholders to ensure firm, legal and regulatory requirements are being met. Team leaders will consult with, collect and share insights to influence changes to department, division and firm communications. • 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. • Represent the department to other business areas of the firm, industry regulators, and participate in firm and regulatory events. • Review audit itineraries and expense reports to ensure that firm resources are being used wisely. • 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. 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](https://secure.edwardjonesbenefits.com/fleet/public/index/f914262d-0362-4682-bd1e-0ccd25f1dfb1). **Hiring Minimum:** $99200 **Hiring Maximum:** $168900 Qualified applicants with arrest or conviction records will be considered for employment in accordance with the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act. Edward Jones is prohibited from hiring individuals with certain specified criminal history as set forth in Section 3(a)(39) and 15(b)(4) and Rule 17a-3(a)(12) of the Securities and Exchange Act of 1934, and conducts background reviews consistent with FINRA Rule 3110(e). A copy of a notice regarding the provisions of the Los Angeles County Fair Chance Ordinance is available at: [dcba.lacounty.gov/wp-content/uploads/2024/08/FCOE-Official-Notice-Eng-Final-8.30.2024.pdf](https://dcba.lacounty.gov/wp-content/uploads/2024/08/FCOE-Official-Notice-Eng-Final-8.30.2024.pdf). [Read More About Job Overview](#job-description) **Skills/Requirements** Current INTERNAL home-based associates: While this role is posted as hybrid, if selected and accepted, you may retain your home-based status. Edward Jones intends in good faith to continue offering the role as home-based, though future business or regulatory needs may require on-site work. Candidates that live within in a commutable distance from our Tempe, AZ and St. Louis, MO home office locations are expected to work in the office three days per week, with preference for Tuesday through Thursday - Bachelors 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 [Read More About Skills/Requirements](#job-description) **Awards & Accolades** 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 the recognitions we have received. Check out our U.S. awards and accolades: [Insights & Information Blog Postings about Edward Jones](https://careers.edwardjones.com/blog/?_sft_category=awards-accolades) Check out our Canadian awards and accolades: [Insights & Information Blog Postings about Edward Jones](https://careers.edwardjones.com/en-CA/blogs/?_sft_category=awards-accolades-en-ca) [Read More About Awards & Accolades](#job-description) **About Us** Join a financial services firm where your contributions are valued. Edward Jones is a Fortune 500¹ 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](https://careers.edwardjones.com/blog/edward-jones-releases-annual-purpose-inclusion-and-citizenship-report/?codes=DIRECT&utm_source=DIRECT). ¹Fortune 500, published June 2024, data as of December 2023. Compensation provided for using, not obtaining, the rating. 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. #LI-HO