Senior Compliance Manager, Brokerage Compliance

Vanguard Malvern , PA 19355

Posted 2 months ago

As a member of the Brokerage Compliance team, you, directly or through your team, will:

Maintain and cultivate a team-oriented culture for efficiently and effectively managing regulatory risks, by fostering strong relationships with the teams within Specialized Retail Programs (e.g., Investor Trading Services, Regulatory Operations and Specialty Brokerage Operations) as well as the legal, risk and other support compliance functions. Maintain an expert knowledge and awareness of the investment industry and the business operations and initiatives within the coverage area of the Brokerage Compliance team. Stay abreast of current market, regulatory and industry relevant news and serve as an expert and key resource related to brokerage compliance matters. Serve as a trusted advisor to the business and partner with leaders to deliver solutions to complex and elevated issues. Provide strategic compliance support for business initiatives and new product or service launches and identify when it is necessary to bring in subject matter experts for support. Adopt and implement best practices within the industry to ensure optimal effectiveness of management and mitigation of regulatory and compliance risks, including driving collaboration and efficiencies between relevant compliance teams and partners throughout the enterprise. Support regulatory visits, exams, inquiries and complex investigations within the coverage areas.

Principal Responsibilities

  • Evaluate and supervise employees on the compliance team (Crew) by setting performance standards, reviewing performance, and making informed compensation decisions in accordance with all applicable Human Resources policies and procedures.

  • Provide leadership, guidance and training, as necessary, to Crew.

  • Drive and oversee the design, implementation, execution and maintenance of new compliance standards in partnership with the business from the perspective of continuous improvement and as new initiatives, technology, products and services are launched.

  • Maintain and revise policies and procedures for the general operation of the compliance program and its related activities.

  • Identify and implement corrective action plans in partnership with the business and compliance advisors for resolution of complex, problematic issues.

  • Recommend practices to reduce potential for violations and noncompliance related to Vanguard's business activities, technologies, products or services.

  • Analyze emerging trends and regulatory issues and allocate responsibility for responding to those risks.

The ideal candidate will have the following skills and experience:

  • Expert knowledge of financial markets, investment products, trading and brokerage operations.

  • Expert knowledge of FINRA, SEC, state and other regulatory requirements applicable to a self-clearing broker-dealer and transfer agent holding retail investor securities.

  • Attention to detail, while maintaining a big picture orientation.

  • Ability to work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment.

  • Excellent written and oral communication skills with the ability to flex interpersonal and communication styles effectively with various levels within the enterprise.

  • Ability to provide leadership and professional guidance to a geographically dispersed team, with the ability to attract, advance and retain top talent.

  • A bias towards action and the ability to lead independently and drive the performance and accountability of a team.

  • A partnership-focused philosophy to accomplish objectives.


  • Minimum of eight years related work experience. Supervisory experience preferred.

  • Undergraduate degree or equivalent combination of training and experience.

  • This job requires a regulatory license and/or registration (e.g. FINRA, state, SFC). These will be determined by Compliance based on role-specific duties.

About Vanguard

We are Vanguard. Together, we're changing the way the world invests.

For us, investing doesn't just end in value. It starts with values. Because when you invest with courage, when you invest with clarity, and when you invest with care, you can get so much more in return. We invest with purpose - and that's how we've become a global market leader. Here, we grow by doing the right thing for the people we serve. And so can you.

We want to make success accessible to everyone. This is our opportunity. Let's make it count.

Inclusion Statement

Vanguard's continued commitment to diversity and inclusion is firmly rooted in our culture. Every decision we make to best serve our clients, crew (internally employees are referred to as crew), and communities is guided by one simple statement: "Do the right thing."

We believe that a critical aspect of doing the right thing requires building diverse, inclusive, and highly effective teams of individuals who are as unique as the clients they serve. We empower our crew to contribute their distinct strengths to achieving Vanguard's core purpose through our values.

When all crew members feel valued and included, our ability to collaborate and innovate is amplified, and we are united in delivering on Vanguard's core purpose.

Our core purpose: To take a stand for all investors, to treat them fairly, and to give them the best chance for investment success.

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Senior Compliance Manager, Brokerage Compliance