Branch Auditor

Edward Jones is seeking a Branch Auditor to review operational, regulatory, and risk controls across branch offices. In this role, you will conduct on-site and remote audits of client accounts, trade activity, documentation, and branch procedures to ensure compliance with firm policies and industry regulations. You will analyze findings, prepare clear audit reports, and partner with financial advisors and branch teams to recommend corrective actions and process improvements. The ideal candidate brings strong attention to detail, knowledge of brokerage/wealth management operations, and the ability to communicate complex requirements in a practical, client-focused way.

Responsibilities

• Plan and execute risk-based audits of Edward Jones branch offices, both on-site and remotely.

• Evaluate internal controls, operational processes, and regulatory compliance with SEC, FINRA, and firm policies.

• Review client accounts, trade activity, documentation, and branch records for accuracy and completeness.

• Document audit procedures and results in organized, supportable workpapers.

• Prepare clear, concise audit reports summarizing findings, risks, and recommended remediation steps.

• Collaborate with financial advisors and branch staff to explain issues and develop practical corrective action plans.

• Monitor follow-up on audit findings to confirm timely and effective remediation.

• Identify trends, root causes, and opportunities to strengthen firm-wide policies and procedures.

• Remain current on relevant regulations, industry practices, and internal policy updates.

• Contribute to continuous improvement of audit methodologies, tools, and risk assessment processes.

Required Skills

• Audit planning

• Internal controls testing

• Regulatory compliance (SEC/FINRA)

• Risk assessment

• Workpaper documentation

• Wealth management operations

• Data analysis and reconciliation

• Report writing

• MS Excel and audit tools

• Stakeholder communication