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. The role 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, and serves as an expert on compliance programs and regulatory matters relevant to business operations.

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.

Empowered to learn, grow, and thrive

Rajesh D., Akua A., Diane T., Kelly P., Megan M., Rehana V., Brooke G.