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About the role
Key responsibilities & impact- Develop, implement, and maintain an effective compliance program for brokerage business activities, services, and products
- Partner with business leaders and stakeholders to provide advice and ensure compliance with regulatory requirements
- Lead regulatory visits, exams, inquiries, and complex investigations within the business
- Maintain and revise compliance program policies and procedures
- Design, implement, and maintain new compliance standards
- Identify and implement corrective action plans for complex, problematic issues
- Evaluate and communicate operational efficiency and effectiveness of compliance programs
- Set measurable standards leveraging internal and external resources
- Serve as an expert and key resource on compliance programs and regulatory matters
- Participate in special projects and perform other assigned duties
Requirements
What you’ll need- Minimum of eight years related work experience
- Undergraduate degree or equivalent combination of training and experience
- Series 7 and Series 64 licenses required or the ability to obtain
- Vanguard is not offering visa sponsorship for this position
Benefits
Comp & perks- Hybrid working model with enhanced flexibility
- In-person learning, collaboration, and connection
- Long-term financial wellbeing mission and employee development opportunities