Branch Auditor Jobs

Inclusively is partnering with a financial services company to hire a Branch Auditor.

ABOUT INCLUSIVELY:

Inclusively is a digital tech platform that connects candidates with disabilities, who may benefit from workplace accommodations, to inclusive employers. This includes all disabilities under the ADA, including mental health conditions (e.g. anxiety, depression, PTSD), chronic illnesses (e.g. diabetes, Long COVID), and neurodivergence (e.g. autism, ADHD). Applicants with one or more of these conditions are encouraged to apply; Inclusively does not require applicants to disclose their specific disability.

Key Responsibilities

• Financial service experience is preferred
• Deliver results in a dynamic environment independently and through partnership with others
• Series 7 and 63 or 66 licenses (or equivalent) required that are currently active
• Partner with Financial Advisors and branch teams through a client-centric approach to assist them in building a successful and compliant business
• Series 9, 10, and 24 licenses required or must be obtained within 12 weeks of hire
• Ability to build relationships and manage conflict with empathy and respect
• Conduct risk-based reviews of business practices, processes, client accounts, and electronic records utilizing data analytics, reports, and tailored discussions to test the Financial Advisor and branch team's compliance with industry regulations and firm policies
• Bachelor's degree is preferred
• Travel approximately 40% to 50% of the time (approximately two weeks per month) to conduct inspections and tailored compliance discussions
• Broad knowledge of financial services products, industry rules and regulations, and firm policies and processes; excitement to continuously learn about these topics
• 2022 Fortune's 100 Best Companies to Work For, published April 2022, research by Great Place to Work®, data as of August 2021. Compensation provided for using, not obtaining, the rating.For the 23rd time, it has earned a spot on the Fortune 100 Best Companies to Work For® ranking by Great Places to Work® and Fortune® magazine. It ranked No. 35 on the prestigious 2022 list.
• Provide verbal and written communication related to the outcome of the review, potential concerns or risk areas discussed, specific actions needed, and resources provided
• 2022 Fortune Best Workplaces for Women, published September 2022, research by Great Places to Work®, data as of August 2021. Compensation provided for using, not obtaining, the rating. It has been named to the 2022 Best Workplaces for Women list by Great Places to Work® and Fortune® magazine, ranking No. 45.
• Demonstrate strong communication, active listening, problem solving, decision making, and organizational skills
• 100 Best Workplaces for Millennials in 2022, published Fortune July 2022, Great Places to Work® data as of March 2022. Compensation provided for using, not obtaining, the rating. It was recognized as one of the Best Workplaces for Millennials by Great Places to Work® and Fortune® magazine. The privately held firm ranked No. 2 overall, in its fourth appearance on the list.
• Travel may be required 40-50% of the time (approximately two weeks per month) to conduct inspections and tailored compliance discussions
• Participate in department projects and initiatives with a focus on improving department processes and audit program effectiveness
• Collaborate to address potential issues or risk areas with Financial Advisors, branch teams, and home office associates; determine when additional follow-up or escalation to leadership or another area is needed

2022 Best Places to Work For LGBTQ+ Equality, Great Place to Work® in partnership with Human Rights Campaign Foundation, published Equity Magazine January 2022, data as of July 2021. Compensation provided for using, not obtaining, the rating. It scored 100 percent on the Human Rights Campaign Foundation's 2022 Corporate Equality Index (CEI) the nation's foremost benchmarking survey and report measuring corporate policies and practices related to LGBTQ+ workplace equality. The ranking designated Jones as one of the best places to work for LGBTQ+Equality.

Job Type: Full-time

Schedule:

• Monday to Friday

Work Location: Remote