Duties and Responsibilities - Develops, gathers, and analyzes metrics and performance data to evaluate the effectiveness of department operations. Proactively identifies trends and makes suggestions to improve team processes, procedures, and systems.
- Provides oversight support through monitoring and auditing the Corporate Actions teams' processes, including but not limited to Voluntary and Mandatory Corporate Actions, Dividends and Interest payments and ETF Conversions. Devises action plans to address any gaps, modifying policies, procedures, disclosures, and technology processes as needed.
- Makes independent decisions on how to best resolve elevated issues and uses judgment on when to deviate from established procedures by taking into consideration what is optimal for the client and for Vanguard (e.g. risk, liability, cost and response time). This involves working with other VBS departments such as Trading, Securities Receipt and Transfer, Securities Lending, Dividends and Interest, Clearance and Settlements, Margin and Fixed Income.
- Ensures procedures are updated appropriately due to industry regulation changes, internal conditions, system enhancements and industry best practices. Streamlines procedures where appropriate for consistency within Corporate Actions.
- Reviews and updates access for our Corporate Actions team and stakeholders to ensure proper access and mitigate risk.
- Performs supervisory duties as a delegate for departmental written supervisory procedures (WSPs).
- Defines, plans, coordinates, and executes departmental strategy from inception through implementation based on business need. Leverages VUE tools to lead and support business evolution.
- Assists in the development of team members through informal coaching and structured training. Responsible for measuring training progress and identifying needs for additional coaching.
- Contributes to a positive and productive working environment. Continually strives to assist the team in reaching both team and departmental goals.
- Participates in special projects and other duties as assigned.
Qualifications - Undergraduate degree or equivalent combination of training and experience.
- Minimum of three years experience with financial services; brokerage operations experience preferred.
- FINRA Series 7 and 63 licenses or ability to obtain within 3 months of hire.
- Exceptional interpersonal and skills, including the ability to build effective working relationships with colleagues in other units/divisions. Must be able to understand and communicate both business and technical issues with team, management and system support.
- Demonstrated leadership skills, professional demeanor and initiative.
- Demonstrated knowledge of Corporate Actions processes and the ability to audit associate work.
- Initiative and ability to work independently.
- Strong relationship building.
Vanguard is not offering visa sponsorship for this position.Special FactorsSponsorshipVanguard is not offering visa sponsorship for this position.
