Account Approval Operations Specialist, New Accounts

Were Hiring: Account Approval Operations Specialist New Accounts - Vanguards Personal Investor - New Account Approval Team

Become a key contributor in a team that values accuracy compliance and operational excellence. As an Account Approval Operations Specialist youll play a vital role in onboarding Vanguards new clients ensuring every account meets the highest standards.

Success in this role requires strong decision-making adaptability and the ability to prioritize effectively in a dynamic environment.

Already Licensed If you currently hold a Series 7 Series 63 and Series 24 license youll be able to contribute right away and take on expanded responsibilities.

Not yet licensed Well invest in your development by providing time to obtain required licenses enabling you to approve accounts and broaden your impact. Well guide you through every step of the process!

This is more than a jobits a pathway to professional growth in a critical function.

In this role you will:

• Review process and approve new client accounts ensuring compliance with industry regulations.

• Conduct routine monitoring and inspections to ensure compliance. Achieve and maintain high levels of quality across the new account processes.

• Maintain awareness of work volumes to ensure team goals are met and be available to assist with new account functions as needed.

• Prepare and share action plans for resolution of client requests with business partners as needed. Provide feedback to peers promoting continuous improvement.

• Collaborate with peers senior administrators and appropriate leaders to discuss relevant topics and support department consistency.

• Keep abreast of regulatory procedures and changes and monitor for business risks and elevate compliance concerns to senior compliance specialists.

• Participate in special projects and perform other duties as assigned.

What were looking for:

Minimum of one-year related work experience.

Undergraduate degree or equivalent combination of training and experience.

This job requires a Series 7 63 and 24 (or ability to obtain upon starting position) regulatory license and/or registration (e.g. FINRA state SFC). These will be determined by Compliance based on role-specific duties.

If youre passionate about client focus driving outcomes and meeting regulatory compliance apply today!

Special Factors

Sponsorship

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.