Senior Brokerage Program Compliance Specialist
As a trusted compliance advisor, this role partners closely with stakeholders to ensure regulatory program requirements and documentation are supported and embedded into business processes. Combining strategic thinking, compliance expertise, and a keen eye for detail, the Sr. Compliance Specialist provides guidance on what needs to be presented, updated, or enhanced while driving effective risk oversight and operational excellence. Experience leveraging emerging technologies, including AI, to improve compliance processes is highly valued.
Core Responsibilities
1. Serves as an experienced advisor to the business and interfaces regularly with business unit stakeholders and compliance partners
2. Supports the business during regulatory visits, exams, inquiries and investigations within the business. Provides guidance to mitigate compliance risks and control gaps.
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3. Oversees the design, implementation, execution, and maintenance of compliance policies and procedures. Supports the development of new compliance standards.
4. Identifies and implements corrective action plans for resolution of problematic issues.
5. Manages operational efficiency and process improvement initiatives, setting measurable standards, timelines and ensuring deadlines are met
6. Serves as an expert on compliance programs and regulatory matters relevant to business operations.
7. Participates in special projects and performs other duties as assigned.
Qualifications
- Minimum of five years related work experience, with at least two years within a financial services compliance function.
- Undergraduate degree or equivalent combination of training and experience.
- This job requires a regulatory license and/or registration (e.g. FINRA, state, SFC). These will be determined by Compliance based on role-specific duties.
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.
Perks and Benefits
Health and Wellness
- FSA
- HSA
- Health Reimbursement Account
- Fitness Subsidies
- On-Site Gym
- HSA With Employer Contribution
- Health Insurance
- Dental Insurance
- Vision Insurance
- Life Insurance
- Short-Term Disability
- Long-Term Disability
- Mental Health Benefits
- Virtual Fitness Classes
- Pet Insurance
Parental Benefits
- Non-Birth Parent or Paternity Leave
- Birth Parent or Maternity Leave
- Fertility Benefits
- Adoption Assistance Program
- Family Support Resources
- Adoption Leave
Work Flexibility
- Flexible Work Hours
- Hybrid Work Opportunities
Office Life and Perks
- Company Outings
- Commuter Benefits Program
- Casual Dress
- Happy Hours
- Snacks
- Some Meals Provided
- On-Site Cafeteria
Vacation and Time Off
- Personal/Sick Days
- Paid Holidays
- Paid Vacation
- Volunteer Time Off
- Leave of Absence
Financial and Retirement
- Relocation Assistance
- Performance Bonus
- 401(K) With Company Matching
- 401(K)
- Financial Counseling
- Profit Sharing
Professional Development
- Promote From Within
- Mentor Program
- Shadowing Opportunities
- Access to Online Courses
- Tuition Reimbursement
- Internship Program
- Lunch and Learns
- Leadership Training Program
Diversity and Inclusion
- Diversity, Equity, and Inclusion Program
- Employee Resource Groups (ERG)
Company Videos
Hear directly from employees about what it is like to work at Vanguard.