Compliance Supervisor

Core Responsibilities

• Hires, evaluates, and supervises crew.
• Provides guidance and training as necessary to develop crew.
• Sets performance standards, reviews performance, and makes informed compensation decisions in accordance with all applicable Human Resources policies and procedures.
• Oversees a team responsible for collecting all materials required for licensing submissions and renewal.
• Ensures that licensing and registration is handled according to established deadlines.
• Regularly reviews qualifications, role requirements, and filings to resolve gaps and ensure compliance.
• Oversees a team responsible for maintaining Vanguard's licensing and registration database.
• Reviews and maintains continued education training and study resources.
• Captures mandatory training related to gaining or maintaining registration, independently or in conjunction with compliance policy and training.
• Regularly reviews crew status against licensing and registration requirements.
• Sends reminder notices to crew.
• Captures schedules and testing enrollment.
• Responds to crew inquiries and contributes to the resolution of testing and continuing education issues.

Qualifications

• Minimum of three years related work experience.
• Undergraduate degree or equivalent combination of training and experience.
• This job requires a regulatory license and/or registration (FINRA 7 & 24).

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.