Sr. Compliance Advisor, Digital & Analytics (D&A) and Self-Directed Compliance at Vanguard

Scottsdale, Arizona, United States

Apply Now

Not SpecifiedCompensation

Senior (5 to 8 years)Experience Level

Full TimeJob Type

NoVisa

Financial ServicesIndustries

Skills

Key technologies and capabilities for this role

FINRA Series 7FINRA Series 63FINRA Series 24FINRA rulescompliance policiesregulatory compliancefinancial services compliancerisk managementbroker dealer supervision

Questions & Answers

Common questions about this position

What licenses are required for this role?

The position requires FINRA Series 7, 63, and 24 licenses, with possible additional registrations like FINRA, state, or SFC determined by Compliance based on duties.

What is the work arrangement or location policy?

Vanguard has implemented a hybrid working model for the majority of crew members, balancing flexibility with in-person learning, collaboration, and connection.

What experience and qualifications are needed?

A minimum of five years related work experience is required, including at least two years in financial services compliance, along with an undergraduate degree or equivalent.

What is the company culture like at Vanguard?

Vanguard emphasizes a mission-driven and highly collaborative culture that supports long-term client outcomes and enriches the employee experience through hybrid work enabling in-person connection.

Does Vanguard offer visa sponsorship?

Vanguard is not offering visa sponsorship for this position.

Vanguard

Client-owned investment management firm offering low-cost funds

About Vanguard

Vanguard provides financial services with a focus on investment management. The company offers a variety of products, including mutual funds, exchange-traded funds (ETFs), individual retirement accounts (IRAs), and 401k rollovers, aimed at individual investors, financial advisors, and institutions. Vanguard's unique ownership structure means it is owned by its funds, which are in turn owned by the clients, allowing it to prioritize the needs of its investors over external shareholders. This model enables Vanguard to offer low-cost investment options, as it primarily earns revenue through management fees that are generally lower than industry standards. Additionally, Vanguard provides personalized investment advisory services, charging fees based on the assets managed. The company's goal is to help clients grow their wealth and achieve their financial objectives through effective investment strategies, while maintaining a competitive performance track record.

Kline Township, PennsylvaniaHeadquarters

1975Year Founded

SECONDARYCompany Stage

Fintech, Financial ServicesIndustries

10,001+Employees

Benefits

Best-in-class medical, dental & vision coverage

Onsite health clinic & fitness center

Health Smart Rewards program

Vanguard Retirement Savings Plan

Education Benefits

PTO

Family Planning Benefist

Parental leave

Personal development opportunities

Volunteer Time Off

Risks

Competition from AI-driven platforms like Writer challenges Vanguard's traditional advisory services.

Vanguard's stake in Steelcase exposes it to the volatile furniture market.

New active bond ETFs may struggle in a low-yield environment with increasing competition.

Differentiation

Vanguard is client-owned, aligning its interests with investors, unlike traditional firms.

The firm offers low-cost investment products, making it attractive to cost-conscious investors.

Vanguard's ownership structure allows it to focus on long-term investor value.

Upsides

Vanguard's new active bond ETFs offer diversified, low-cost fixed income options.

The acquisition of Steelcase shares diversifies Vanguard's portfolio into the furniture industry.

Launching the International Dividend Growth Fund appeals to investors seeking sustainable dividend growth.

Land your dream remote job 3x faster with AI

Try Jobo Free