Vanguard

Senior Manager – Regulation Best Interest Program

Vanguard

full-time

Posted on:

Location Type: Hybrid

Location: Malvern • Arizona • North Carolina • United States

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Job Level

Senior

Tech Stack

PMP

About the role

  • Hires, evaluates, and supervises crew. Provides guidance and training as necessary to develop crew.
  • Leads the strategy, operational communication approach, and master change management program plan for broad, complex initiatives.
  • Creates and maintains the business transformation strategy that identifies specific actions and tasks needed to achieve future state goals.
  • Works collaboratively with all business leaders and other impacted departments.
  • Builds and maintains strategic relationships across sites, departments, divisions, and internal and external partners.
  • Ensures all steps are taken to mitigate risk, maintains control, compliance, audit, and legal requirements.
  • Develops measurement processes for change management success.

Requirements

  • Minimum of eight years related work experience
  • Five years of business transformation and or change management experience
  • Supervisory experience preferred
  • Undergraduate degree or equivalent combination of training and experience required
  • Graduate degree preferred
  • 8+ years of progressive experience in broker-dealer compliance, regulatory risk, or conduct supervision, including ownership of enterprise regulatory programs
  • Proven experience designing and maintaining governance frameworks, policies, controls, monitoring, and testing programs for retail advice or investment recommendations
  • FINRA Series 7 and Series 24 (or ability to obtain); professional certifications (CRCM, CCEP, CFA, or PMP) preferred but not required
Benefits
  • Health insurance
  • Retirement plans
  • Flexible working arrangements
  • Professional development
Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools
business transformationchange managementgovernance frameworkspoliciescontrolsmonitoringtesting programsregulatory riskconduct supervisionenterprise regulatory programs
Soft Skills
leadershipcommunicationcollaborationrelationship buildingguidancetrainingstrategic thinkingrisk mitigationoperational communicationmeasurement processes
Certifications
FINRA Series 7FINRA Series 24CRCMCCEPCFAPMP