Retail Client Account Supervisor

To supervise non-exempt crew members in completing Retail Client Account Services (RCAS) requests in an accurate and timely fashion. To identify ways to continuously improve the operation by identifying and executing on initiatives that add value to the client experience.

Duties and Responsibilities

1. Supervise, coach and develop crewmembers for RIG Operations, RCAS, and Vanguard as a whole. Creates a culture of highly engaged and motivated crew. Teaches crew about our company structure, philosophy, culture, and career progression opportunities. Participates in business-wide calibration exercises and provides feedback in accordance with all applicable policies and procedures. Ensures that his/her team achieves or exceeds operational goals. Provides guidance, training and motivation as necessary to develop staff. Hires, evaluates and counsels crew. Follows corporate disciplinary procedures per established Vanguard standards as required. Sets performance standards, reviews performance, provides feedback, and recommends wage increases in accordance with all applicable Human Resources policies and procedures.

2. Responds to elevated client issues and makes decisions according to industry and regulatory policies and procedures. Identifies root causes and offers solutions to resolve the immediate problem as well as avoid future situations. Notifies internal partners or clients as needed based on the extent and scope of the problem. Understands and utilizes applicable resources and builds a network of contacts within Vanguard for assistance in handling client situations.

3. Develops relationships with Corporate Compliance, Legal, Risk Management and industry contacts to validate policies and procedures. Maintains and keeps current departmental procedure manual. Obtains required licensing and maintains licensing status through continuing education requirements. Attends and completes all required training.

4. Monitors and audits functions performed by the team and controls for completion of account approvals, new accounts, maintenance requests, transfers, change of ownership and other functions. Oversees performance of daily reconciliation functions and report generation of daily, weekly and monthly activities.

5. Proactively identifies trends and makes suggestions to improve operational effectiveness and the client experience. Employs Vanguard Unmatchable Excellence (VUE) methodology and dashboard techniques to generate accurate and timely reports for management regarding business volumes, annual objectives, team performance, and productivity. Sets measurable goals and examines ways to raise standards, improve quality, and improve overall performance of the department. Prepares and delivers ad hoc reporting, presentations, and training programs as needed.

6. Creates new and enhances existing relationships with RIG business colleagues, industry partners, and counterparties. Keeps abreast of changing landscape within RIG and in the industry to include functional thought leadership, industry best practices, and changes to organizational structure. Responds accordingly to changes in the business environment by proposing and implementing innovative solutions to keep pace with an evolving business climate and improve operational efficiency. Acts as a change agent; demonstrates active support for department initiatives.

7. Works with peers to develop staffing schedules for the unit based on weekly business needs. Determines number of crew required to meet daily service levels and structures tasks and staff effectively. Participates in divisional resource allocation process and CONN meetings.

8. Monitors daily reconciliation functions and develops and distributes meaningful management reporting. Devises action plans to address any gaps, modifying policies, procedures, disclosures, and technology processes as needed.

9. Adheres to and possesses a strong understanding of Vanguard policies, Code of Ethics, departmental and processing procedures, and legal requirements. Provides accurate, complete, and value-added information.

10. Maintains business, product, and procedural knowledge by fulfilling Swiss army requirements.

11. Participates in special projects and performs other duties as assigned.


  • Undergraduate degree or equivalent experience is preferred.
  • Minimum three years general experience and three years brokerage operations experience.
  • Prior supervisory experience preferred.
  • FINRA Series 7 and 63 licenses or ability to obtain within department guidelines.
  • Strong leadership skills.
  • Demonstrated knowledge of the securities industry and RCAS policies and procedures.
  • Customer service orientation with excellent interpersonal and communication (oral and written) skills; team player with positive attitude.
  • Demonstrated ability to understand complex technical issues.
  • Demonstrated ability to make sound decisions under demanding conditions.
  • Demonstrated ability to lead a group or individuals to meet and exceed expected results in accordance with departmental and organizational goals.
  • Ability to be flexible and work in an ambiguous environment.
  • Excellent time management skills.
  • Demonstrated experience in resolving problems successfully.
  • Proficiency with Word, Excel and other Microsoft applications

Special Factors

Vanguard is not offering visa sponsorship for this position.

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