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

The Branch Auditor is responsible for conducting field audits of Edward Jones branches within a specific audit schedule, to ensure that all branches fully comply with applicable firm policies and regulatory rules.

• Conducts visits on approximately 150 branch offices in Canada each year, which includes a mixture of virtual visits as well as travel to branch locations, including some air travel and overnight stays.

• Responsible for scheduling and booking all travel arrangements and audits.

• Prepare for branch audit by reviewing electronic records, past audit results, branch's book of business, and branch notes.

• Conducts Branch visit including branch inspection, review of physical books and records, discuss and educate Branch associates on pertinent compliance topics.

• Projects as assigned by Leader.

• Post-audit responsibilities include:

• preparation of an audit summary report in respect of each branch visited, indicating the audit grade and detailing findings, recommendations and requirements - for approval by supervisor.

• communication of audit results and requirements to the Advisor and BOA in formal report,

• review of the adequacy of the branch responses to ensure all issues are addressed,

• communication of issues and decisions as appropriate to relevant home office associates (for example, to enable further investigation and internal discipline where warranted),

• in the case of audits with a grade of "Unsatisfactory", revisit the branch within 3 to 6 months to confirm correction of findings cited in audit report.

• follow up on all action items with branch team, by phone or email to confirm the correction of findings

• track all audits and findings with follow up details.

Skills/Requirements

• Canadian Securities Course, Conduct and Practices Handbook required or must be obtained within 1 year of hire

• University degree in a business related field preferred

• Professional designation(s) related to financial planning considered an asset

• Minimum of 2 years industry experience required

• Compliance or supervisory experience is preferred

• Strong knowledge required of:

• relevant rules and policies of regulators

• requirements, policies and procedures of the firm

• products/ solutions offered by the firm, and

• the firm's supervisory systems

• Technical skills, including the use of Microsoft Office, and the ability to learn job-specific software and adapt to technological changes as they arise

• Continual awareness of the regulatory environment, securities industry developments & current issues is also required

• Must be able to work autonomously and communicate even difficult messages clearly & tactfully, verbally and in writing.

• Previous exposure in financial planning and discretionary/managed accounts considered an asset

• Client and branch centric individual

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

Check out our Canadian awards and accolades: Insights & Information Blog Postings about Edward Jones

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 8 million clients and 19,000 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.

1Fortune 500, published June 2023, data as of December 2022. 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.

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