Brokerage Program Compliance Specialist

hackajob is collaborating with Vanguard to connect them with exceptional professionals for this role.

Supports the development, implementation, and maintenance of business unit compliance processes, as well as compliance monitoring related to business activities and investment products. Serves as a trusted advisor to the business. Provides guidance and oversight of regulated activities.

This role offers a unique opportunity to support critical compliance activities while working with leaders across the organization to gather, analyze, and present information that helps drive informed decisions at the board and senior leadership levels.

Core Responsibilities

Participates in creating and updating written procedures and ensures manuals are current and properly distributed. Coordinates materials and maintains records on behalf of the Broker/Dealer and Advisory businesses. Prepares certifications and develops presentation materials for reporting to various boards. Responds to compliance inquiries, proactively recommends solutions, and serves as a system administrator for various compliance tools. Participates in special projects and performs other duties as assigned.

Qualifications

• Minimum of three years of Broker/Dealer experience; Regulatory, compliance, investment, or auditing experience preferred.

• Undergraduate degree or an equivalent combination of education and experience.

• Series 7 license or the ability to obtain it within 120 days.

• Experience preparing presentations is a plus.

Special Factors

Sponsorship

Vanguard is not offering visa sponsorship for this position.

About Vanguard

At Vanguard, we don't just have a mission-we're 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.