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 Responsibilities
Conduct 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 business
Provide verbal and written communication related to the outcome of the review, potential concerns or risk areas discussed, specific actions needed, and resources provided
Collaborate 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 needed
Participate in department projects and initiatives with a focus on improving department processes and audit program effectiveness
Travel 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
Equal Opportunity Employer - minorities/females/veterans/individuals with disabilities/sexual orientation/gender identity
Full-time