Core 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.
Qualifications- Undergraduate degree or equivalent combination of training and experience. Graduate Degree preferred
- Five years related work experience in financial services. Corporate Actions experience preferred. Supervisory experience preferred
- 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.
Special FactorsSponsorshipVanguard is not offering visa sponsorship for this position.
