The Senior Compliance Advisor will be an individual contributor responsible for collaborating to advise D&A and Personal Investor business teams on regulatory obligations. This team’s role is to provide guidance to mitigate compliance risk while elevating a supervisory program for the broker dealer. Regulatory, compliance, and business acumen are necessary for this position. The role will provide opportunities for cross-departmental project participation and will work across various teams to build relationships with senior stakeholders.

Core Responsibilities

• Serves as an experienced advisor to the business, and interfaces regularly with business unit stakeholders and internal risk, legal and compliance partners
• Assists with managing 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 regulatory licenses FINRA Series 7, 63, 24. Also may include registration (e.g. FINRA, state, SFC). These will be determined by Compliance based on role-specific duties.
• Knowledge of FINRA rules related to technology and implementation desired.

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.