Branch Auditor

Overview

This posting is anticipated to remain open for 30 days, from 26-Aug-2026. The posting may close early due to the volume of applicants.

This home-based role supports a risk-based branch inspection and compliance testing program within a large financial services organization. The position involves independent work, regular travel within selected regions, and collaboration with internal partners across Compliance, Legal, Field Leadership, and other business areas.

Responsibilities

• Conduct 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 insights, and build trusted relationships.
• Coach branch teams on regulatory expectations and firm policies to reinforce a culture of compliance and maintain a positive, productive audit experience.
• 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 in your selected regions; when not conducting on-site inspections, conduct remote audits and 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.
• Use financial services expertise and sound judgment to test for compliance with the goal of protecting clients and supporting branch excellence.

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.
• Ability to coach, influence, or consult 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.
• Analytical and problem-solving skills, including identifying trends, assessing risk, and making sound decisions.
• 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.

Compensation & Benefits

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. Short- and long-term disability, basic life, and basic AD&D coverage are provided at no cost to associates.

Additional benefits include:

• 401k retirement plan
• Tax-advantaged accounts: health savings account and flexible spending account
• Ten 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
• Possible eligibility for bonuses and profit sharing
• Employee Assistance Program for all associates

Location & Work Schedule

• Home-based role with the option to work from home office if desired.
• Regular travel throughout selected regions to conduct branch inspections and test compliance knowledge of branch teams (with a mix of driving-distance and fly-in assignments throughout the year).
• Auditors participate in a region selection process that provides input into travel locations and schedules.
• Candidates who live within a commutable distance from the Tempe, AZ and St. Louis, MO home office locations are expected to work in the office four days per week.

Compliance & Background Information

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.

The organization 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).