Digital Compliance Advisor
Vanguard is seeking an innovative and knowledgeable compliance professional with experience in a digital environment to join its Compliance team. This individual will advise and support new digital technology projects for our various client facing divisions, including the development of new client services and ways for clients to interact with us through various digital methods.
Our ideal candidate will have an established understanding of the evolving nature of digital services, digital advice tools, and the regulatory landscape as it relates to technology and online client interactions.
Our must haves:
- Be responsible for enhancing and evolving the digital compliance framework and associated policies and procedures while serving as point person for Compliance in supporting the execution of digital related activities in the client facing divisions
- Have prior technology compliance experience; digital compliance experience is a plus
- Possess the ability to combine tech savvy with a compliance oriented mindset to support Vanguard's digital transformation
- Be comfortable talking with members of our technology and digital teams
Our ideal candidate will also:
- Be adept at understanding "current state" and proposing new ways to evolve processes in a manner that keeps the firm compliant with various FINRA, SEC and state and federal requirements
- Support technology and business teams working in agile and sprint modes as they strive for rapid iteration and optimization of digital experiences
- Be comfortable challenging the established way of doing things
- Stay updated and informed on advancing industry technologies and approaches to modern compliance
- Challenge and drive internal stakeholders to prioritize deliverables and make decisions to move transformation efforts forward
- Resolve compliance related issues raised by stakeholders and provide regulatory advice in a manner that is easily understood and actionable by project teams
- Will have an understanding of interactive content experiences
- Provide input to the development of compliance testing programs for online/digital experiences and processes
- Provide strategic points of view and ensure that the risks taken in digital projects are well known and understood by senior leaders
- Undergraduate degree or equivalent experience required. Technology and/or digital education/certifications of interest.
- Minimum five years business experience. Regulatory, compliance, investment, digital or marketing experience preferred.
- Series 7, 24 and 63 licenses preferred or willingness to obtain after hire.
- Broad understanding of client service models in the investment management industry; knowledge of and experience with SEC and FINRA regulations preferred.
- Excellent relationship management skills, including ability to interact with individuals at various levels internal and external to the company.
- Demonstrated ability to function in a fast-paced, ambiguous environment while managing multiple projects and diverse responsibilities.
- Proven ability to develop and implement new business plans or change direction in a dynamic environment.
- Excellent judgment and decision-making skills; ability to analyze and respond to issues.
- Excellent verbal and written communication skills.
- Familiarity with and experience in using relevant broker dealer systems and applications, as applicable.
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