Senior Regulatory Oversight Specialist

Vanguard

Senior Regulatory Oversight Specialist providing oversight for Personal Investor’s product offerings. Conducting audits and ensuring compliance with industry regulations and best practices.

Posted 7/6/2026full-timeMalvern • Arizona, North Carolina, Pennsylvania • 🇺🇸 United StatesSeniorWebsite

About the role

Key responsibilities & impact

Conduct effective and unbiased oversight supporting the Personal Investor’s product and service offerings
Assist and support the Registered Principals Responsible (RPR) with complex internal audits, risk assessments, OSJ inspections, FINRA and SEC inspections, and regulator requests for Written Supervisory Procedures (WSPs)
Provide Regulatory Oversight for aligned businesses and ensure completion of all evidencing for Representative Supervision WSP work being done across Front Office businesses
Support other delegate work as needed
Interpret current market, regulatory, and industry news to identify areas of opportunity within the oversight process through trending, gaps, and process change/workflows
Work with Legal and Compliance to ensure the process update is compliant with industry regulation changes, system enhancements, and industry best practices
Present key findings to the RPRs and key management
Record the evidence of supervision, track and document follow-up and resolution, analyze trends, document process improvements/changes and the rational made to procedures
Develop, maintain, and broaden effective working relationships across applicable process owner’s business areas and external business partners
Foster lines of communication between business contacts, the Legal Department, Compliance Department colleagues, Risk, and personnel and control groups
Work independently in a fast-paced environment
Contribute to a positive and productive environment
Assist the team in meeting team and department goals
Participate in special projects and perform other duties as assigned

Requirements

What you’ll need

Undergraduate degree or equivalent experience required
Graduate degree preferred
Minimum three years business experience with financial services, Regulatory, and brokerage operations, compliance, investment, or auditing experience preferred
Demonstrated ability to work efficiently and independently with a commitment to meeting deadlines
Maintain a growth mindset with a passion for regulatory oversight, compliance excellence, and risk mitigation
Proven project management capabilities with a focus on continuous process improvement
Strong interpersonal skills with the ability to build and maintain effective cross‑functional relationships

Benefits

Comp & perks

Regulatory licenses and/or registration (e.g. FINRA, state, SFC) or ability to obtain in a designated period of time
Series 7, Series 63, and Series 66 licenses needed

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

Internal AuditsRisk AssessmentsOSJ InspectionsFINRA InspectionsSEC InspectionsWritten Supervisory ProceduresProcess ImprovementData AnalysisTrend AnalysisDocumentation

Soft Skills

Interpersonal SkillsIndependent WorkCommunicationTeam CollaborationGrowth Mindset