Manager, Brokerage Corporate Actions
About The Position
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. 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.
Requirements
- Undergraduate degree or equivalent combination of training and experience.
- Five years related work experience in financial services.
- This job requires a regulatory license and/or registration (e.g. FINRA, state, SEC). These will be determined by Compliance based on role-specific duties.
Nice To Haves
- Graduate Degree preferred
- Corporate Actions experience preferred.
- Supervisory experience preferred
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 highly complex process and product ownership of mandatory and voluntary Brokerage Corporate Actions with a focus on client service delivery.
- Ensures timely and accurate corporate actions event notifications and client communication, with seamless processing and exceptional client experience.
- Manages the execution of foreign corporate actions services, collaborating with internal partners and ensuring compliance with foreign jurisdiction requirements.
- Maintains vendor relationships that support corporate actions processes.
- Serve as an escalation point for regulators and internal stakeholders regarding asset service processing.
- Develops control and risk management procedures and incorporates risk mitigation strategies into internal department initiatives.
- Identify process and product improvement opportunities to enhance operational efficiency.
- Ensures that Corporate Actions operations and processes are done in compliance with regulatory requirements.
- Participates in special projects and performs other duties as assigned.
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What This Job Offers
Job Type
Full-time
Career Level
Manager
