Branch Audit Team Lead: Risk & Compliance

Edward Jones; St. Louis (MO); Hybrid; USD 90,000 - 130,000; Full time

Benefits offered by this job

401k retirement plan

Paid holidays

Vacation time: 15 days

Employee Assistance Program

Job summary

Edward Jones is seeking a Branch Audit Team Leader to oversee a national team responsible for risk assessments of financial advisor activity and branch operations. You will ensure audits comply with regulatory standards and firm policies while coaching auditors across the United States.

You will guide training and development, maintain strong stakeholder relationships, and oversee complex policy projects. This role requires travel up to 50% and collaboration with home office teams, with a hybrid

Qualifications

• Bachelor's degree or equivalent experience in finance or related field.
• Active FINRA licenses: Series 7 and 63/66 or 9/10/24 within 12 months.
• Minimum 5 years' experience in financial services.
• At least 1 year in people or project leadership.
• Strong communication and leadership across dispersed teams.
• Willingness to travel 50% and work from home half the time.

Responsibilities

• Lead and develop a team responsible for conducting comprehensive risk assessments of financial advisor businesses and branch activities.
• Establish performance expectations and provide ongoing oversight to ensure audits meet regulatory requirements, firm policies, and quality standards.
• Attract, retain, and develop top talent by delivering training, coaching, and professional development opportunities.
• Ensure high quality communication with Branch Auditors, branch teams, home office departments and regulators; handle escalated situations.
• Adhere to industry rules, regulations, and firm policies; interpret regulatory guidance as needed.
• Build partnerships with stakeholders to meet legal, regulatory, and firm requirements and share insights.

Skills

Leadership

Team management

Regulatory knowledge

Communication

Travel ability

FINRA licenses

Financial services experience

Education

Bachelor's degree or equivalent

Graduate degree preferred

Job description

Edward Jones is seeking a Branch Audit Team Leader to oversee a national team responsible for risk assessments of financial advisor activity and branch operations. You will ensure audits comply with regulatory standards and firm policies while coaching auditors across the United States.

You will guide training and development, maintain strong stakeholder relationships, and oversee complex policy projects. This role requires travel up to 50% and collaboration with home office teams, with a hybrid