Senior Compliance Advisor

Scottsdale, AZ - USA

Monthly Salary: Not Disclosed

Posted on: 18 hours ago

Vacancies: 1 Vacancy

Job Summary

Are you ready to elevate compliance strategy in a dynamic client-focused environment Vanguard is seeking a seasoned compliance professional to join our team as a Senior Compliance Advisor supporting the Digital & Analytics (D&A) and Personal Investor business lines. This specialist role offers a unique opportunity to shape the future of supervisory programs for our broker-dealer while partnering with senior stakeholders across the enterprise.

In this role youll serve as a trusted advisor to business teams translating complex regulatory obligations into actionable guidance. Youll help design and enhance compliance frameworks that mitigate risk and uphold the integrity of our operations. Your work will directly support our mission to give investors the best chance for investment success.

Core Responsibilities

Serves as an experienced advisor to the business and interfaces regularly with business unit stakeholders and internal risk legal and compliance partners
Assists with managing 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.

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.
Candidates must already hold active FINRA Series 7 and 63 licenses. While Series 24 is not required at the time of application candidates must be willing and eligible to obtain it. Additional registrations (e.g. FINRA state SFC) may be required and will be determined by Compliance based on the specific duties of the role.
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 dont just have a missionwere 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.

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.

Required Experience:

Senior IC

Are you ready to elevate compliance strategy in a dynamic client-focused environment Vanguard is seeking a seasoned compliance professional to join our team as a Senior Compliance Advisor supporting the Digital & Analytics (D&A) and Personal Investor business lines. This specialist role offers a uni...