SummaryThe role will conduct effective and unbiased oversight supporting the Personal Investor's product and service offerings. The oversight expands across both crew and direct leader duties to ensure compliance with the policy and procedures set forth to support Personal Investor's evolving product and service offerings and evolving regulatory landscape. The ideal candidate should possess a high degree of attention to detail, a learner's mindset, and the ability to work in an ambiguous environment.
Responsibilities - Assists and supports the Registered Principals Responsible (RPR) with complex internal audits, risk assessments, OSJ inspections, FINRA and SEC inspections, and regulator requests for Written Supervisory Procedures (WSPs).
- Provide Regulatory Oversight for aligned businesses and ensure completion of all evidencing for Representative Supervision WSP work being done across Front Office businesses. Supports other delegate work as needed.
- Interprets current market, regulatory, and industry news to identify areas of opportunity within the oversight process through trending, gaps, and process change/workflows. Works with Legal and Compliance to ensure the process update is compliant with industry regulation changes, system enhancements, and industry best practices.
- Presents higher than tier one level work key findings to the RPRs and key management. Records the evidence of supervision, tracks and documents follow-up and resolution, analyzes trends, documents process improvements/changes and the rational made to procedures.
- Develops, maintains, and broadens effective working relationships across applicable process owner's business areas and external business partners. Fosters lines of communication between, and with, business contacts, the Legal Department, Compliance Department colleagues, Risk, and personnel and control groups.
- Work independently in a fast-paced environment. Contributes to a positive and productive environment. Continually strives to assist the team in meeting team and department goals.
- Participates in special projects and performs other duties as assigned.
Requirements:
- Undergraduate degree or equivalent experience required. Graduate degree preferred.
- Minimum three years business experience with financial services, Regulatory, and brokerage operations, compliance, investment, or auditing experience preferred.
- This job requires regulatory licenses and/or registration (e.g. FINRA, state, SFC) or ability to obtain in a designated period of time. Licenses needed: Series 7, Series 63, and Series 66.
- Demonstrated ability to work efficiently and independently with a commitment to meeting deadlines.
- Maintain a growth mindset with a passion for regulatory oversight, compliance excellence, and risk mitigation.
- Proven project management capabilities with a focus on continuous process improvement.
- Strong interpersonal skills with the ability to build and maintain effective cross-functional relationships.
Special FactorsSponsorshipVanguard is not offering visa sponsorship for this position.
