The Senior Compliance Advisor supports the development, implementation, and maintenance of compliance processes, as well as compliance monitoring functions related to business activities and investment products within Vanguard's Brokerage/Wealth Mgmt. Client Experience compliance team. This role serves as a trusted advisor to the business, provides guidance and oversight of regulated activities.
Responsibilities:
- Serves as an experienced advisor to the business, and interfaces regularly with business unit stakeholders and internal risk and compliance partners
- Manages 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. Sets measurable standards leveraging internal and external resources accordingly.
- Serves as an expert on compliance programs and regulatory matters relevant to business operations.
- Participates in special projects and performs other duties as assigned.
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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.
- This job requires regulatory licenses FINRA Series 7, 63, 24. Also may include registration (e.g. FINRA, state, SFC). These will be determined by Compliance based on role-specific duties.
- Knowledge of FINRA rules related to technology and implementation desired.
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.
Our commitment to diversity, equity, and inclusion
Vanguard's commitment to diversity, equity, and inclusion (DEI) is central to our ability to deliver on our mission. We aspire to create a work environment that is inclusive, equitable, and diverse-one that enables our employees, whom we call crew, to thrive and bring their best selves to work every day on behalf of our clients.
Cultivating DEI lifts our entire organization, and everyone shares accountability for our progress-from our senior leaders who lay the foundation and set the example for inclusive behaviors to crew who are growing in their personal DEI learning experiences.
Together, we're on a mission. We are fueled by the value of diverse voices and connected through friendships and a culture of care-for our clients, our communities, and each other.
Vanguard's DEI journey has no finish line. Our commitment is enduring, and we remain focused on the path ahead. To learn more about Vanguard goals and progress toward DEI, download our Diversity, Equity, and Inclusion Report .
How We Work
Vanguard has implemented a hybrid working model for the majority of our crew members, designed to capture the benefits of enhanced flexibility while enabling in-person learning, collaboration, and connection. We believe our mission-driven and highly collaborative culture is a critical enabler to support long-term client outcomes and enrich the employee experience.