Brokerage Program Compliance Specialist

About the role

This role offers a unique opportunity to support critical compliance activities while working with leaders across the organization to gather, analyze, and present information that helps drive informed decisions at the board and senior leadership levels.

Core Responsibilities

• Participates in creating and updating written procedures and ensures manuals are current and properly distributed.
• Captures and maintains records on behalf of the Broker/Dealer and Advisory businesses.
• Prepares certifications and develops presentation materials for reporting to various boards.
• Responds to compliance inquiries, proactively recommends solutions, and serves as a system administrator for various compliance tools.
• Participates in special projects and performs other duties as assigned.

Qualifications

• A minimum of three years of Broker/Dealer experience; Regulatory, compliance, investment, or auditing experience preferred.
• An undergraduate degree or an equivalent combination of education and experience.
• A Series 7 license or the ability to obtain it within 120 days.
• Experience preparing presentations is a plus.

Special Factors

Vanguard is not offering visa sponsorship for this position.

About Vanguard

At Vanguard, we don't just have a mission—we're on a mission. To work for the long-term financial wellbeing of our clients. To lead through product and services that transform our clients' lives. To learn and develop our skills as individuals and as a team. From Malvern to Melbourne, our mission drives us forward and inspires us to be our best.

Empowered to learn, grow, and thrive

Rajesh D., Senior Manager, IT Delivery
Akua A., Cybersecurity Manager
Diane T., Senior Manager, Fraud Engineering
Kelly P., Head of Wealth Management Technology
Megan M., Head of Fraud Prevention Engineering
Rehana V., Director of Onboarding Engineering
Brooke G., Senior Manager, Chief Data and Analytics Office

Our Commitment to Equal Employment Opportunity

Vanguard is an equal opportunity employer. Vanguard is committed to providing all crew members a working environment that is free from discrimination, prejudice and bias. Through this Equal Employment Opportunity (EEO) Policy, Vanguard reaffirms its commitment to equal employment opportunity for all applicants and crew members without regard to race, color, national origin or ancestry, religion, gender, sex, sexual orientation, gender identity or expression, age, disability, marital status, veteran or military status. In addition, Vanguard prohibits discrimination based on genetic information, as well as any other characteristic protected by federal, state or local law.