Business Unit & Product Compliance – Senior Specialist
| Company | Vanguard |
|---|---|
| Location | Malvern, PA, USA, Scottsdale, AZ, USA |
| Salary | $Not Provided – $Not Provided |
| Type | Full-Time |
| Degrees | |
| Experience Level | Senior |
Requirements
- Minimum of eight years related work experience.
- This job requires a regulatory license and/or registration (e.g. FINRA, state, SFC).
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.
Preferred Qualifications
- Supervisory experience preferred.