Compliance Advisor, Regulatory Response
Posted on: 6 Nov 2021
Malvern, PA
Job Description
This role:
Serves as an experienced advisor to the business, and interfaces regularly with business unit stakeholders and internal risk and compliance partners
Manages regulatory visits, exams, inquiries and investigations within the business. Provides guidance to mitigate compliance risks and control gaps.
Oversees the design, implementation, execution, and maintenance of compliance policies and procedures. Supports the development of new compliance standards.
Identifies and implements corrective action plans for resolution of problematic issues.
Manages operational efficiency. Sets measurable standards leveraging internal and external resources accordingly.
Serves as an expert on compliance programs and regulatory matters relevant to business operations.
What it takes:
Minimum of five years related work experience, with at least two years within a financial services compliance function.
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.
Special Factors:
Broad knowledge of financial markets and investment products and services
Broad knowledge of FINRA, SEC, state and other regulatory requirements applicable to a self-clearing broker dealer
Ability to act as a liaison to regulatory agencies
Excellent written and oral communication skills to leverage when preparing responses/reports
Ability to serve as advisor to the business and coordinate with business area stakeholders and internal risk and compliance partners
Ability to research exams and inquires, determine scope, and provide recommended responses
Action-oriented and the ability to operate independently with ownership and accountability; and partnership-focused philosophy to accomplish objectives and key results.
Series 7 and 24 are required
Vanguard is not offering visa sponsorship for this position.
You should be aware this will designate you as a Fund Access Person and carries with it certain responsibilities and restrictions. Reference the Code of Ethics Policy for further details.
Vanguard Group, Inc.
Malvern, PA
The Vanguard Group is an American registered investment advisor based in Malvern, Pennsylvania with over $5.3 trillion in assets under management. It is the largest provider of mutual funds and the second-largest provider of exchange-traded funds (ETFs) in the world after BlackRock's iShares. In addition to mutual funds and ETFs, Vanguard offers brokerage services, variable and fixed annuities, educational account services, financial planning, asset management, and trust services.
Founder and former chairman John C. Bogle is credited with the creation of the first index fund available to individual investors, and was a proponent and major enabler of low-cost investing by individuals. Vanguard is structured as a mutual company; it is owned by funds managed by the company, and is therefore owned by its customers. Vanguard offers two classes of most of its funds: investor shares and admiral shares. Admiral shares have slightly lower expense ratios but require a higher minimum investment, often between $10,000 and $100,000 per fund.
In addition to mutual funds and ETFs, Vanguard offers brokerage services, variable and fixed annuities, educational account services, financial planning, asset management, and trust services. Several mutual funds managed by Vanguard are ranked at the top of the list of US mutual funds by assets under management.
Vanguard's corporate headquarters is in Malvern, Pennsylvania, a suburb of Philadelphia. It has satellite offices in Charlotte, North Carolina and Scottsdale, Arizona. The company also has offices in Australia, Asia, and Europe.
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IndustryInvestments Management
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No. of Employees16,600+
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Website
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Jobs Posted213
