Senior Brokerage Program Compliance Specialist
About the role
This role serves as an experienced advisor to the business and interfaces regularly with business unit stakeholders and compliance partners. The Senior Brokerage Program Compliance Specialist supports the business during regulatory visits, exams, inquiries, and investigations within the business. They provide guidance to mitigate compliance risks and control gaps. They oversee the design, implementation, execution, and maintenance of compliance policies and procedures, supporting the development of new compliance standards. They identify and implement corrective action plans for resolution of problematic issues. They manage operational efficiency and process improvement initiatives, setting measurable standards, timelines, and ensuring deadlines are met. They serve as an expert on compliance programs and regulatory matters relevant to business operations. They participate in special projects and perform other duties as assigned.
Responsibilities
- Serves as an experienced advisor to the business and interfaces regularly with business unit stakeholders and compliance partners
- Supports the business during regulatory visits, exams, inquiries and investigations within the business. Provides guidance to mitigate compliance risks and control gaps
- Oversees the design, implementation, execution, and maintenance of compliance policies and procedures. Supports the development of new compliance standards
- Identifies and implements corrective action plans for resolution of problematic issues
- Manages operational efficiency and process improvement initiatives, setting measurable standards, timelines and ensuring deadlines are met
- Serves as an expert on compliance programs and regulatory matters relevant to business operations
- Participates in special projects and performs other duties as assigned
Qualifications
- Minimum of five years related work experience, with at least two years within a financial services compliance function
- Undergraduate degree or equivalent combination of training and experience
Special Factors
- Sponsorship: 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.
Vanguard's 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.