This role leads a team responsible for ensuring all licensing and registration requirements are met accurately and on time, supporting Vanguard’s regulatory compliance across the business. The leader will develop and coach crew, oversee licensing operations and data integrity, and partner with compliance and regulatory bodies to resolve issues and close gaps. This position combines people leadership, operational oversight, and industry expertise to drive a strong culture of compliance and readiness.
Core Responsibilities
1. Hires, evaluates, and supervises crew. Provides guidance and training as necessary to develop crew. Sets performance standards, reviews performance, and makes informed compensation decisions in accordance with all applicable Human Resources policies and procedures.
2. Oversees a team responsible for collecting all materials required for licensing submissions and renewal. Ensures that licensing and registration is handled according to established deadlines. Regularly reviews qualifications, role requirements, and filings to resolve gaps and ensure compliance.
3. Oversees a team responsible for maintaining Vanguard's licensing and registration database. Reviews and maintains continued education training and study resources. Coordinates mandatory training related to gaining or maintaining registration, independently or in conjunction with compliance policy and training.
4. Regularly reviews crew status against licensing and registration requirements. Sends reminder notices to crew. Coordinates schedules and testing enrollment.
5. Responds to crew inquiries and contributes to the resolution of testing and continuing education issues.
6. Develops and maintains a broad knowledge of the investment industry. Keeps abreast of the current market, regulatory and industry news. Serves as a specialist and provides guidance to the team on compliance related issues. Interacts as a liaison to regulatory agencies.
7. Participates in special projects and performs other duties as assigned.
Qualifications
- Minimum of three years related work experience.
- Undergraduate degree or equivalent combination of training and experience.
- This job requires a regulatory license and/or registration (FINRA 7 & 24)
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.
Skills Required
- Minimum of three years related work experience
- Undergraduate degree or equivalent combination of training and experience
- Regulatory license and/or registration (FINRA Series 7 & 24)
Vanguard Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about Vanguard and has not been reviewed or approved by Vanguard.
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Retirement Support — Retirement support appears unusually strong through a 401(k) design that includes a match plus an additional employer contribution, which can materially lift long-term total rewards. HSA seeding and an enhanced employer match further strengthen the savings-and-benefits value of the package.
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Wellbeing & Lifestyle Benefits — Wellbeing and lifestyle support is reinforced by a sizable annual FlexFund stipend that can be applied across many day-to-day categories such as fitness, childcare, and other personal expenses. On-site or virtual clinics and fitness options add practical health and wellness convenience.
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Affordable Benefits — Healthcare and related benefits are positioned as comparatively affordable via heavily subsidized medical plans and broad coverage options. This affordability can offset moderate base pay for employees who place higher value on out-of-pocket cost reductions.
Vanguard Insights
What We Do
We are a community of 30 million who think – and feel – differently about investing. Together, we’re changing the way the world invests. Since our founding in 1975, helping our investors achieve their goals is our sole reason for existence. With no other parties to answer to and therefore no conflicting loyalties, we make every decision—like keeping investing costs as low as possible—with only your needs in mind. Vanguard is one of the world's largest investment companies, offering a large selection of high-quality low-cost mutual funds, ETFs, advice, and related services. Individual and institutional investors, financial professionals, and plan sponsors can benefit from the size, stability, and experience Vanguard offers. As of April 30, 2019, we managed more than $5.6 trillion in global assets. In addition, we have 189 funds in the United States and 225 funds in global markets. For Commenting Guidelines & Important information, visit here: http://vanguard.com/linkedin Vanguard Marketing Corporation, Distributor.
