Branch Auditor

Overview

This home-based role supports a branch inspection program within financial services. The Branch Auditor works independently and builds trust with branch teams across selected regions to identify potential risks, improve processes, and reinforce compliance expectations. Ongoing development and broad exposure across the organization support career growth.

Auditors participate in a region selection process and conduct a mix of driving-distance and fly-in assignments throughout the year.

Responsibilities

• Conduct risk-based branch audits by reviewing client accounts, analyzing branch data, and assessing business practices to identify potential risks and test 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 insights, and build trusted relationships.
• Coach branch teams on regulatory expectations and firm policies to reinforce a culture of compliance.
• Communicate audit findings, recommendations, and required actions clearly and professionally through verbal discussions, written reports, follow-up discussions, and presentations to key stakeholders.
• Travel approximately 2 weeks per month within selected regions, and conduct remote audits when not on-site.
• Manage 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.

Requirements

• Active Series 7 or Series 6.
• Series 7, 66/63, 9, 10, and 24 licenses (or equivalents) required or obtained within 12 weeks of hire.
• Financial services industry experience with an understanding of branch operations, client accounts, products, and regulatory requirements.
• Strong verbal and written communication skills, including the ability to build relationships, navigate difficult conversations, and communicate findings effectively.
• Ability to work independently, manage competing priorities, and stay organized while balancing travel, audit preparation, and follow-up activities.
• Bachelor’s degree or equivalent combination of education and experience.

Preferred Qualifications

• Experience in branch operations, client service, compliance, risk management, audit, or other financial services support functions.
• Experience coaching, influencing, or consulting with financial professionals on business practices, policies, or regulatory requirements.
• Demonstrated ability to build trust quickly and establish productive working relationships with a variety of stakeholders.
• Strong analytical and problem-solving skills, including the ability to identify trends, assess risk, and make sound decisions.

Compensation & Benefits

Compensation and benefits include:

• 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 provided at no cost to associates
• 401k retirement plan
• Tax-advantaged accounts: health savings account and flexible spending account
• 10 paid holidays
• 15 days of vacation for new associates beginning on January 1 of each year
• Sick time and personal days
• Paid day for volunteerism
• Potential eligibility for bonuses and profit sharing
• Employee Assistance Program

Location

Home-based role with the option to work from home office if desired. Regular travel throughout selected regions is required to conduct 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.