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The Senior Compliance Advisor will be an individual contributor responsible for collaborating to advise D&A and Personal Investor business teams on regulatory obligations. This team’s role is to provide guidance to mitigate compliance risk while elevating a supervisory program for the broker dealer. Regulatory, compliance, and business acumen are necessary for this position. The role will provide opportunities for cross-departmental project participation and will work across various teams to build relationships with senior stakeholders.

Core Responsibilities

+ Serves as an experienced advisor to the business, and interfaces regularly with business unit stakeholders and internal risk, legal and compliance partners

+ Assists with m anaging 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.

+ Participates in special projects and performs other duties as assigned.

Qualifications

+ 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.

+ Candidates must already hold active FINRA Series 7 and 63 licenses. While Series 24 is not required at the time of application, candidates must be willing and eligible to obtain it. Additional registrations (e.g., FINRA, state, SFC) may be required and will be determined by Compliance based on the specific duties of the role.

+ Knowledge of FINRA rules related to technology and implementation desired.

Special Factors

Sponsorship

Vanguard is not offering visa sponsorship for this position.

About Vanguard

At Vanguard, we don't just have a mission—we're on a mission.

To work for the long-term financial wellbeing of our clients. To lead through product and services that transform our clients' lives. To learn and develop our skills as individuals and as a team. From Malvern to Melbourne, our mission drives us forward and inspires us to be our best.

How We Work

Vanguard has implemented a hybrid working model for the majority of our crew members, designed to capture the benefits of enhanced flexibility while enabling in-person learning, collaboration, and connection. We believe our mission-driven and highly collaborative culture is a critical enabler to support long-term client outcomes and enrich the employee experience.