Account Approval Operations Specialist – New Accounts
Vanguard
full-time
Posted on:
Location Type: Hybrid
Location: Malvern • Arizona • Pennsylvania • United States
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Job Level
About the role
- Review, process and approve new client accounts, ensuring compliance with industry regulations
- Conduct routine monitoring and inspections to ensure compliance
- Achieve and maintain high levels of quality across the new account processes
- Maintain awareness of work volumes to ensure team goals are met and assist with new account functions as needed
- Prepare and share action plans for resolution of client requests with business partners, as needed
- Provide feedback to peers, promoting continuous improvement
- Collaborate with peers, senior administrators, and appropriate leaders to discuss relevant topics and support department consistency
- Keep abreast of regulatory procedures and changes, and monitor for business risks to elevate compliance concerns to senior compliance specialists
- Participate in special projects and perform other duties as assigned
Requirements
- Minimum of one-year related work experience
- Undergraduate degree or equivalent combination of training and experience
- Series 7, 63 and 24 (or ability to obtain upon starting position) regulatory license and/or registration
Benefits
- Professional development opportunities
- Time to obtain required licenses
- Flexible working hours
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Soft skills
collaborationfeedbackcontinuous improvementquality assuranceproblem-solvingcommunicationorganizational skillsmonitoringinspectionsaction planning
Certifications
Series 7Series 63Series 24