The Branch Audit Department plays a critical role in achieving the Compliance Division's purpose of promoting our clients' best interests and decisions that foster an environment of trust by continuously partnering together to strengthen our culture of compliance to enable the best client, branch team and associate experiences. Through teams of Branch Auditors, the Branch Audit Department executes a risk-based audit program consisting of activities required by various regulatory bodies. Branch Auditors inspect branch offices and registered locations and conduct tailored compliance discussions with branch team members and associates to help protect clients, branch teams and the firm.
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