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Vanguard
Business Unit & Product Compliance Analyst, SpecialistVanguard • Malvern, PA, United States
Business Unit & Product Compliance Analyst, Specialist

Business Unit & Product Compliance Analyst, Specialist

Vanguard • Malvern, PA, United States
30+ days ago
Job type
  • Full-time
Job description
locationsMalvern, PAScottsdale, AZCharlotte, NCtime typeFull timeposted onPosted Todaytime left to applyEnd Date: July 8, 2025 (14 days left to apply)job requisition id168644

Job Description

  • Regulatory Engagement & Tracking: Maintain and track regulatory inquiries, submissions, and correspondence, in an organized and consistent manner to ensure timely, accurate responses and alignment with compliance requirements and regulatory expectations.
  • Reporting & Documentation: Maintain a repository of past regulatory responses, and exam reports; support knowledge sharing across compliance and business teams. Prepare and distribute regular reports summarizing regulatory interactions, including status updates, key themes, and emerging issues.
  • Business Partner Communication: Act as a liaison to business units to communicate regulatory expectations and response strategies in clear, actionable terms.
  • Process Coordination: Support the development and refinement of workflows for regulatory response and issue tracking.
  • Meeting & Task Support: Lead coordination of meetings with regulators and internal teams; track follow-up items and ensure accountability across departments.
  • Cross-Functional Collaboration: Collaborate to align messaging and ensure consistency in regulatory responses; participate in task forces or working groups as needed.

Core Competencies

  • Able to contribute to team direction and influence outcomes through collaboration and communication.
  • Exhibits exceptional organizational skills and attention to detail, critical for managing regulatory inquiries, tracking response deadlines, and ensuring the accuracy and completeness of submissions to oversight bodies.
  • Skilled at reviewing and summarizing information to support clear and concise messaging.
  • Comfortable presenting project updates and contributing to discussions around recommendations and outcomes.
  • Works well in team-oriented environments; dependable team player who supports group goals and contributes to shared success.
  • Proactive and motivated self-starter with a strong sense of responsibility and commitment to meeting goals.
  • Demonstrates professionalism, reliability, and a positive attitude in the workplace.
  • Maintains high standards of integrity, ethics, and confidentiality.

Qualifications

  • Minimum of three to five years relevant work experience, regulatory, compliance, or investment experience preferred.
  • Undergraduate degree or equivalent combination of training and experience.
  • Excellent communication skills with the ability to independently engage with regulators, senior management, and internal teams.
  • Strong organizational and communication skills.
  • Attention to detail, with the capability to manage complex regulatory reporting and documentation requirements.
  • To be successful in this compliance role, candidates should either possess or demonstrate a willingness to obtain FINRA licenses (e.g., Series 7, 24).

Special Factors

Sponsorship

Vanguard is not offering visa sponsorship for this position.

About Vanguard

At Vanguard, we don't just have a missionwe'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.

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Business Unit & Product Compliance Analyst, Specialist • Malvern, PA, United States

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