Compliance Supervisor

Vanguard • Scottsdale, AZ

2d • Hybrid

About The Position

This role leads a team responsible for ensuring all licensing and registration requirements are met accurately and on time, supporting Vanguard’s regulatory compliance across the business. The leader will develop and coach crew, oversee licensing operations and data integrity, and partner with compliance and regulatory bodies to resolve issues and close gaps. This position combines people leadership, operational oversight, and industry expertise to drive a strong culture of compliance and readiness.

Requirements

• Minimum of three years related work experience.
• Undergraduate degree or equivalent combination of training and experience.
• This job requires a regulatory license and/or registration (FINRA 7 & 24)

Responsibilities

• Hires, evaluates, and supervises crew. Provides guidance and training as necessary to develop crew. Sets performance standards, reviews performance, and makes informed compensation decisions in accordance with all applicable Human Resources policies and procedures.
• Oversees a team responsible for collecting all materials required for licensing submissions and renewal. Ensures that licensing and registration is handled according to established deadlines. Regularly reviews qualifications, role requirements, and filings to resolve gaps and ensure compliance.
• Oversees a team responsible for maintaining Vanguard's licensing and registration database. Reviews and maintains continued education training and study resources. Coordinates mandatory training related to gaining or maintaining registration, independently or in conjunction with compliance policy and training.
• Regularly reviews crew status against licensing and registration requirements. Sends reminder notices to crew. Coordinates schedules and testing enrollment.
• Responds to crew inquiries and contributes to the resolution of testing and continuing education issues.
• Develops and maintains a broad knowledge of the investment industry. Keeps abreast of the current market, regulatory and industry news. Serves as a specialist and provides guidance to the team on compliance related issues. Interacts as a liaison to regulatory agencies.
• Participates in special projects and performs other duties as assigned.

What This Job Offers

• Job Type: Full-time
• Career Level: Manager