Account Approval Operations Specialist, New Accounts

Vanguard • Malvern, PA

2d • Hybrid

About The Position

Vanguard's Personal Wealth - New Account Approval Team is seeking an Account Approval Operations Specialist. This role is crucial for ensuring new accounts are reviewed and approved accurately and efficiently, contributing to a seamless onboarding experience and upholding Vanguard's commitment to compliance, risk management, and operational excellence. The specialist will play a key role in serving clients and supporting Vanguard's mission.

Requirements

• Minimum of one-year related work experience in financial services, brokerage operations, compliance, account onboarding, or a related field.
• Undergraduate degree or equivalent combination of training and experience.
• Strong attention to detail with a commitment to accuracy and quality.
• Excellent communication, organizational, and problem-solving skills.
• Ability to work both independently and collaboratively in a fast-paced environment.

Nice To Haves

• Active FINRA Series 7, 63 and 24 preferred

Responsibilities

• Review, process, and approve new client accounts in accordance with industry regulations and company policies.
• Monitor account activity and perform quality reviews to help ensure regulatory compliance and operational excellence.
• Manage daily work volumes while supporting team goals and assisting with account approval activities as needed.
• Partner with internal stakeholders to resolve client requests and contribute to continuous process improvement.
• Collaborate with peers, senior administrators, and leaders to promote consistency and share best practices.
• Stay current on regulatory requirements, identify potential risks, and escalate compliance concerns when appropriate.
• Participate in special projects and contribute to initiatives that enhance the client and crew experience.

Benefits

• Fully paid training, coaching, and support to obtain the FINRA Series 7, 63 and 24 licenses.
• Learning and development opportunities to build your skills and grow your career.
• Hands-on coaching and mentorship from experienced leaders.
• Training in Vanguard's products, services, and operations to help you make a meaningful impact on our clients.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: Associate degree