Trade Support Manager

Vanguard

Trade Support Manager overseeing brokerage operations, regulatory supervision, and trade corrections at Vanguard, a global investment management company. Managing teams, client issues, projects, and operational risk.

Posted 8/4/2026full-timeCharlotte • North Carolina, Pennsylvania • 🇺🇸 United StatesMid-LevelSeniorWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in regulatory compliance and brokerage operations, with a strong focus on team management, performance evaluation, and process improvement. Proficient in handling complex client issues and ensuring adherence to industry regulations.

Highest-signal resume keywords

Brokerage ExperienceRegulatory ComplianceTeam ManagementPerformance EvaluationProcess Improvement

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Trading Operation PlatformsError ResolutionPerformance StandardsOperational EffectivenessProject Management

Soft Skills

Problem SolvingTeam GuidancePartnership Building

Certifications & Qualifications

Series 7Series 63Series 24Series 4

Industry Keywords

Regulatory SupervisionHuman Resources PoliciesCompliance ProceduresRisk MitigationClient Issue Management

About the role

Key responsibilities & impact

Hire, evaluate, supervise, guide, and train crew
Set performance standards, review performance, and make compensation decisions in accordance with Human Resources policies and procedures
Review team operations for efficiency and regulatory compliance
Develop processes and procedures to improve brokerage operational effectiveness
Conduct regulatory supervision of registered and associated crew and supported functions
Own written supervisory procedures to ensure compliance
Manage complex elevated client issues and oversee resolution of errors
Mitigate risk by prioritizing error resolutions
Develop and use expert knowledge of trading operation platforms to handle trade corrections
Guide the team using compliance, regulatory, and departmental policies and procedures
Build partnerships with business partners to provide feedback, solve problems, and introduce controls
Manage project initiative delivery through resource allocation, timelines, schedules, and statistical data
Participate in special projects and perform other assigned duties

Requirements

What you’ll need

Minimum of five years related work experience
Minimum of two years of brokerage experience
Undergraduate degree or equivalent combination of training and experience
Series 7 and Series 63 required prior to being hired
Series 24 and Series 4 required, but may be obtained post-hire
Regulatory license and/or registration requirements determined by Compliance based on role-specific duties
No visa sponsorship offered for this position

Benefits

Comp & perks

Hybrid working model
Enhanced flexibility
In-person learning, collaboration, and connection
Opportunities to learn and develop skills as an individual and as a team