Job Information
Vanguard Business Unit & Product Compliance Analyst, Specialist in Malvern, Pennsylvania
Financial integrity from the inside out
Vanguard’s core purpose is to take a stand for all investors, to treat them fairly, and to give them the best chance for investment success. Known for our strong ethical business practices and client focus, Vanguard has a vibrant and multi-faceted business. In support of our innovative and highly regulated business lines, Vanguard’s Compliance Department encounters a wide range of complex and compelling issues while providing exceptional, high-value business partnership and compliance support. In addition, Vanguard is an employer of choice that continually invests in the growth, development, and success of its employees over the course of their Vanguard careers.
To support its growing and evolving service offerings, Vanguard is seeking a skilled compliance professional to lead compliance support related to business initiatives and day to today support. The ideal candidate will have Regulation Best Interest and supervision experience, including experience with sales practice and program design, and a minimum of 5 years of broker-dealer /wealth management businesses. Broad knowledge of broker-dealer, sales practice regulations and supervision regulations will complement the required skills.
The Business Unit & Product Compliance Specialist will also provide direction to a dynamic set of business leaders and staff focused on Vanguard’s Retail Sales and Wealth Management businesses. This role is a key member of a team charged with building, maintaining, and enhancing an evergreen and comprehensive compliance program for Vanguard’s retail business lines. Key measures of success include effective support of business operations and initiatives, identification and response to regulatory risk needs and ongoing regulatory changes, and implementation of required policies and procedures inclusive of appropriate operational and supervisory oversight within the business.
Responsibilities:
Serves as an experienced advisor to the business, and interfaces regularly with business unit stakeholders and internal risk and compliance partners
Manages regulatory visits, exams, inquiries, and investigations within the business. Provides guidance to mitigate compliance risks and control gaps.
Oversees the design, implementation, execution, and maintenance of compliance policies and procedures. Supports the development of new compliance standards.
Identifies and implements corrective action plans for resolution of problematic issues.
Manages operational efficiency. Sets measurable standards leveraging internal and external resources accordingly.
Serves as an expert on compliance programs and regulatory matters relevant to business operations.
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.
Our commitment to diversity, equity, and inclusion
Vanguard’s commitment to diversity, equity, and inclusion (DEI) is central to our ability to deliver on our mission. We aspire to create a work environment that is inclusive, equitable, and diverse—one that enables our employees, whom we call crew, to thrive and bring their best selves to work every day on behalf of our clients.
Cultivating DEI lifts our entire organization, and everyone shares accountability for our progress—from our senior leaders who lay the foundation and set the example for inclusive behaviors to crew who are growing in their personal DEI learning experiences.
Together, we’re on a mission. We are fueled by the value of diverse voices and connected through friendships and a culture of care—for our clients, our communities, and each other.
Vanguard’s DEI journey has no finish line. Our commitment is enduring, and we remain focused on the path ahead. To learn more about Vanguard goals and progress toward DEI, download our Diversity, Equity, and Inclusion Report (https://corporate.vanguard.com/content/corporatesite/us/en/corp/who-we-are/we-care-about/diversity-equity-inclusion.html) .
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.