Compliance Administrator

Vanguard, one of the world's leading investment management companies, seeks an experienced Brokerage Compliance Administrator to ensure that the activities of Vanguard Marketing Corporation's (VMC) operations are in compliance with regulatory requirements, and corporate policies and procedures.

You'll lead inspections of brokerage operations; once completed, you'll analyze and provide your inspection results to management in a written report. To ensure proper trading practices, you and other members of the team will perform daily trade surveillance.

You'll serve as a compliance expert for various VMC business areas, including Vanguard Brokerage Services (VBS), by answering questions, resolving issues, and recommending appropriate actions. You'll be expected to establish effective relationships with various management teams in the VMC business areas, Legal, and Internal Audit, and to leverage these relationships to resolve problems, create efficiencies, and improve the compliance process. To further enhance the department's operational and process efficiencies, you'll assist in the development of dashboards in accordance with Vanguard's Unmatchable Excellence methodology.

You'll compose written responses to regulatory requests for information on brokerage operations or inquiries regarding VBS client accounts. You'll also assist the department and internal clients in documenting and maintaining all written policies and procedures. REQUIREMENTS


-Bachelor's degree or an equivalent combination of training and experience.
-Three to five years of related compliance or Vanguard experience.
-Ability to successfully complete Series 7, 24 and 63 licenses within 6 months of hire.
-Knowledge of brokerage operations, regulatory requirements, and industry standards.
-Knowledge of the investment management/financial services industry preferred.
-Excellent verbal and written communication skills, including strong persuasion and negotiation skills.

Vanguard, a leading financial company, offers a competitive Total Rewards package of cash compensation, benefits, work-life programs, and conveniences. Employment is contingent on a successful drug-screening result, and we maintain a smoke-free work environment. We are an equal opportunity employer committed to diversity in the workplace.