Senior Financial Crimes Manager

Vanguard   •  

Malvern, PA

Industry: Accounting, Finance & Insurance


5 - 7 years

Posted 166 days ago

This job is no longer available.

Vanguard is a leading provider offinancial products and services to individual and institutionalinvestors world-wide. Known for its strong ethical business practices and client focus, Vanguard fosters a collaborative, team-oriented environment that rewards and recognizes its people leaders for building and fostering high-performing teams.

To support our growing business, Vanguard is seeking a Senior Financial Crimes Manager to join our Financial Crimes team. The person hired into this role will manage Financial Crimes staff and programs, which may include but is not limited to the areas of Know-your Customer (KYC), Customer Due Diligence (CDD), anti-money laundering (AML), trade surveillance and anti-bribery/anti-corruption.

Competitive candidates will have the following experience and education, and demonstrate the following attributes:

  • Undergraduatedegree
  • Minimum five years financial services experience with specific experience in Financial Crimes or compliance
  • Series 7, 24 and 63 licenses or ability to successfully complete within 90 days of entry into position
  • Broad understanding of Vanguard’s business and the securities and investment management industry
  • Knowledge of Financial Crimes related requirements including BSA, USA Patriot Act, OFAC, FCPA and experience with SEC, FINRA, and MSRB regulations
  • Excellent relationship management skills, including ability to interact with individuals at various levels internal and external to the company
  • Demonstrated ability to function in a fast-paced, ambiguous environment while managing multiple and diverse responsibilities
  • Proven ability to develop and implement new business plans or change direction in a dynamic environment
  • Excellent judgment and decision-making skills; ability to analyze and respond to issues
  • Excellent verbal and written communication skills
  • Familiarity with andexperiencein using relevant broker dealer systems and applications, as applicable

    Special Factors

    Vanguard is not offering visa sponsorship for this position.