Account Approval Operations Specialist, New Accounts

Vanguard • Malvern, PA

2d

About The Position

🌟 We're Hiring: Account Approval Operations Specialist, New Accounts - Vanguard's Personal Investor - New Account Approval Team 🌟 Become a key contributor in a team that values accuracy, compliance, and operational excellence. As an Account Approval Operations Specialist, you’ll play a vital role in onboarding Vanguard’s new clients, ensuring every account meets the highest standards. Success in this role requires strong decision-making, adaptability and the ability to prioritize effectively in a dynamic environment. Already Licensed? If you currently hold a Series 7, Series 63 and Series 24 license, you’ll be able to contribute right away and take on expanded responsibilities. Not yet licensed? We’ll invest in your development by providing time to obtain required licenses, enabling you to approve accounts and broaden your impact. We’ll guide you through every step of the process! This is more than a job—it’s a pathway to professional growth in a critical function. In this role, you will: Review, process and approve new client accounts, ensuring compliance with industry regulations. Conduct routine monitoring and inspections to ensure compliance. Achieve and maintain high levels of quality across the new account processes. Maintain awareness of work volumes to ensure team goals are met and be available to assist with new account functions as needed. Prepare and share action plans for resolution of client requests with business partners, as needed. Provide feedback to peers, promoting continuous improvement. Collaborate with peers, senior administrators, and appropriate leaders to discuss relevant topics and support department consistency. Keep abreast of regulatory procedures and changes, and monitor for business risks and elevate compliance concerns to senior compliance specialists. Participate in special projects and perform other duties as assigned. What we're looking for: ✔Minimum of one-year related work experience. ✔Undergraduate degree or equivalent combination of training and experience. ✔This job requires a Series 7, 63 and 24 (or ability to obtain upon starting position) regulatory license and/or registration (e.g. FINRA, state, SFC). These will be determined by Compliance based on role-specific duties. If you're passionate about client focus, driving outcomes and meeting regulatory compliance, apply today!

Requirements

• Minimum of one-year related work experience.
• Undergraduate degree or equivalent combination of training and experience.
• This job requires a Series 7, 63 and 24 (or ability to obtain upon starting position) regulatory license and/or registration (e.g. FINRA, state, SFC). These will be determined by Compliance based on role-specific duties.

Responsibilities

• Review, process and approve new client accounts, ensuring compliance with industry regulations.
• Conduct routine monitoring and inspections to ensure compliance.
• Achieve and maintain high levels of quality across the new account processes.
• Maintain awareness of work volumes to ensure team goals are met and be available to assist with new account functions as needed.
• Prepare and share action plans for resolution of client requests with business partners, as needed.
• Provide feedback to peers, promoting continuous improvement.
• Collaborate with peers, senior administrators, and appropriate leaders to discuss relevant topics and support department consistency.
• Keep abreast of regulatory procedures and changes, and monitor for business risks and elevate compliance concerns to senior compliance specialists.
• Participate in special projects and perform other duties as assigned.

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Number of Employees: 5,001-10,000 employees