Brokerage Program Compliance Specialist

Vanguard • Malvern, PA

1d • Hybrid

About The Position

This role offers a unique opportunity to support critical compliance activities while working with leaders across the organization to gather, analyze, and present information that helps drive informed decisions at the board and senior leadership levels.

Requirements

• Minimum of three years of Broker/Dealer experience
• Undergraduate degree or an equivalent combination of education and experience.
• Series 7 license or the ability to obtain it within 120 days.

Nice To Haves

• Regulatory, compliance, investment, or auditing experience preferred.
• Experience preparing presentations is a plus.

Responsibilities

• Participates in creating and updating written procedures and ensures manuals are current and properly distributed.
• Coordinates materials and maintains records on behalf of the Broker/Dealer and Advisory businesses.
• Prepares certifications and develops presentation materials for reporting to various boards.
• Responds to compliance inquiries, proactively recommends solutions, and serves as a system administrator for various compliance tools.
• Participates in special projects and performs other duties as assigned.

What This Job Offers

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