Business Unit Product Compliance Senior Specialist
Business Unit Product Compliance Senior Specialist
Employer Active
Job Alert
You will be updated with latest job alerts via email
Share
Job Alert
You will be updated with latest job alerts via email
Not Disclosed
Salary Not Disclosed
1 Vacancy
Job Description
Financial integrity from the inside out
Vanguards core purpose is to take a stand for all investors to treat them fairly and to give them the best chance for investment success. Known for our strong ethical business practices and client focus Vanguard has a vibrant and multifaceted business. In support of our innovative and highly regulated business lines Vanguards Compliance Department encounters a wide range of complex and compelling issues while providing exceptional highvalue business partnership and compliance support. In addition Vanguard is an employer of choice that continually invests in the growth development and success of its employees over the course of their Vanguard careers.
To support its growing and evolving service offerings Vanguard is seeking a highly skilled senior compliance professional to lead strategic compliance support related to business initiatives and day to today ideal candidate will have Regulation Best Interest and supervision experience including experience with sales practice and program design and a minimum of 8 years of brokerdealer /wealth management businesses. Broad knowledge of brokerdealer sales practice regulations and supervision regulations will complement the required skills.
As Business Unit & Product Compliance Senior Specialist will also provide strategic direction to a dynamic set of business leaders and staff focused on Vanguards Retail Sales and Wealth Management role is a key member of a team charged with building maintaining and enhancing an evergreen and comprehensive compliance program for Vanguards retail business lines. Key measures of success include effective support of business operations and initiatives identification and response to regulatory risk needs and ongoing regulatory changes and implementation of required policies and procedures inclusive of appropriate operational and supervisory oversight within the business.
Responsibilities
- Develops implements and maintains an effective compliance program for brokerage business activities services and products. Partners with business leaders and stakeholders to provide advice and ensure compliance with regulatory requirements.
- Leads regulatory visits exams inquiries and complex investigations within the business.
- Maintains and revises compliance program policies and procedures. Designs implements and maintains new compliance standards.
- Identifies and implements corrective action plans for resolution of complex problematic issues.
- Evaluates and communicates operational efficiency and effectiveness of compliance programs. Sets measurable standards leveraging internal and external resources accordingly.
- Serves as an expert and key resource related to compliance programs and regulatory matters relevant to business operations.
- Participates in special projects and performs other duties as assigned.
Qualifications
- Minimum of eight years related work experience. Supervisory experience preferred.
- Undergraduate degree or equivalent combination of training and experience.
- This job requires a regulatory license and/or registration (e.g. FINRA state SFC). These will be determined by Compliance based on rolespecific duties.
Special Factors
Sponsorship
Vanguard is not offering visa sponsorship for this position.About Vanguard
At Vanguard we dont just have a missionwere on a mission.
To work for the longterm 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.
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 inperson learning collaboration and connection. We believe our missiondriven and highly collaborative culture is a critical enabler to support longterm client outcomes and enrich the employee experience.
Required Experience:
Senior IC
Employment Type
Full-Time
