Senior Compliance Advisor – Marketing and Distribution
Malvern, PA, US
March 18, 2019
Duties and Responsibilities
Serves as a trusted advisor and thought partner to various stakeholders in support of business decisions impacting Vanguard’s marketing and distribution strategy.
- Works collaboratively with the business to develop policies, procedures and controls designed to ensure compliance with applicable laws and regulations.
- Leads broad-reaching and diverse compliance projects to bring novel solutions to established practices.
- Serves as the technical expert on FINRA, SEC, and MSRB advertising rules.
- Maintains a broad knowledge and awareness of regulatory changes and the impact to current business practices.
- Provides training and education on the regulatory landscape, compliance requirements, and the marketing review process.
- Undergraduate degree or equivalent experience required. Graduate degree preferred.
- Minimum five years compliance experience, Advertising/ Marketing Review Compliance experience preferred.
- Series 7, 24 and 63 licenses or ability to successfully complete within 90 days of entry into position.
- Broad understanding of Vanguard’s business and the investment management industry; knowledge of and experience with SEC, FINRA, OCC and MSRB regulations preferred.
- Excellent relationship management skills, including ability to interact with individuals at various levels internal and external to the company.
- Demonstrated ability to function in a fast-paced, ambiguous environment while managing multiple and diverse responsibilities.
- Proven ability to develop and implement new business plans or change direction in a dynamic environment.
- Excellent judgment and decision-making skills; ability to analyze and respond to issues.
- Excellent verbal and written communication skills
- Familiarity with and experience in using relevant broker dealer systems and applications, as applicable.
If you are offered and accept this position, and you do not have the necessary FINRA licenses for the role, then you must obtain the required licenses within the specified period of time. Additionally, if you are not currently registered with FINRA in any capacity, prior to moving into this licensed role, you will be asked to provide authorization for Vanguard to conduct a credit and criminal check in accordance with the FINRA regulations. Please note, the credit and criminal check requirement does not apply to crew who are currently registered with FINRA.
Some travel, for trainings, seminars and global coordination, may be required.
Vanguard is not offering visa sponsorship for this position.