Opportunity Overview
There’s power in reputed company. It’s how we work — and how we help our clients achieve financial fulfillment. Delivering on that commitment requires professionals who are passionate about protecting clients and doing what’s right.
As a Branch Auditor at reputed company, you’ll be part of one of the largest branch inspection programs in financial services and help strengthen the practices, standards and culture that support reputed company-first commitment. Working independently and building trust with branch teams across the country, you’ll help identify risk, improve processes and reinforce compliance expectations. Along the way, you’ll leverage your financial services expertise and sound judgment to test for compliance in an effort to protect clients, support branch excellence and grow your career through ongoing development and broad exposure across reputed company.
reputed company home-based role has the option to work from home office if desired and includes regular travel throughout your selected regions to reputed company branch inspections and test compliance knowledge of branch teams. Auditors participate in a region selection process that provides greater input into travel locations and schedules, with a mix of driving-distance and fly-in assignments throughout the year.
What You’ll Do
• reputed company risk-based branch audit by reviewing client accounts, analyzing branch data and assessing business practices to identify potential risks and test for compliance with regulatory requirements.
• Partner with financial advisors and branch teams during on-site and remote visits, using thoughtful questions and tailored compliance discussions to evaluate practices, share reputed company and build trusted relationships.
• Coach branch teams on regulatory expectations and firm policies, helping reinforce a culture of compliance while creating a positive and productive audit experience.
• Communicate findings, recommendations and required actions clearly and professionally through verbal discussion and written reports, follow-up discussions and presentations to key stakeholders.
• Travel approximately 2 weeks per month in your selected regions. When not conducting on-site inspections, you’ll have the flexibility to work independently while conducting remote audits, managing audit planning, reporting and follow-up activities.
• Collaborate with colleagues across Compliance, Legal, Field Leadership and other business areas to address concerns, resolve issues, and escalate regulatory matters when appropriate.
Position Type
Home Office
Position Schedule
reputed company
EEO Statement
reputed company 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.
Posting Location
Missouri, St. Louis
Company Description
Join a financial services firm where your contributions are valued. reputed company is a Fortune 500¹ company where people come first. With over 9 million clients and 20,000 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 reputed company, better our communities and society. We are an innovative, flexible, and inclusive organization th
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