Team Leader - Branch Audit

This job posting is anticipated to remain open for 30 days, from 24-Aug-2026. 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.

What You'll Do:

• Lead and develop a team responsible for conducting comprehensive risk assessments of financial advisor businesses and branch activities, including physical branch inspections and tailored consultations with Financial Advisors and Branch Office Administrators (BOAs).
• Establish clear performance expectations and provide ongoing oversight to ensure audits are completed accurately, consistently, and in accordance with regulatory requirements, firm policies, and quality standards.
• Attract, retain, and develop top talent by delivering effective training, coaching, and professional development opportunities that enable associates to excel and grow in the Branch Audit function.
• 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.
• 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.
• Build and maintain strong partnerships with key stakeholders to ensure legal, regulatory, and firm requirements are met, while gathering and sharing insights that influence departmental, divisional, and firm-wide communications and initiatives.
• 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.

Manage operational oversight responsibilities, including reviewing audit itineraries and expense reports to ensure effective use of firm resources and compliance with established standards.

Current Internal home-based associates please note**: Even as a campus-based posted role you are eligible to apply and, if selected, you may retain your home-based status. However future business or regulatory needs may require on-site work and some roles may carry a preference for campus-based presence.**

What Experience You'll Need:

• Bachelor's 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.

Candidates that live within a commutable distance from our Tempe, AZ and St. Louis, MO home office locations are expected to work in the office four days per week.

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.

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.

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.