- Vanguard (Malvern, PA)
- …existing relationships with distributors, advisors, and other intermediaries in the Broker Dealer channel through predominantly electronic and telephone ... Generates new relationships and broadens existing relationships in the Broker Dealer channel using a combination of...our best. How We Work Vanguard has implemented a hybrid working model for the majority of our crew… more
- Vanguard (Malvern, PA)
- …high-impact legal agreements-from securities lending and repurchase transactions to broker / dealer trading and platform documentation. You'll partner with ... documents for securities lending, repurchase agreements, as well as broker / dealer trading and platform agreements and supporting...our best. How We Work Vanguard has implemented a hybrid working model for the majority of our crew… more
- Vanguard (Malvern, PA)
- …its growing and evolving service offerings, Vanguard seeks a highly skilled broker - dealer compliance professional to lead strategic compliance activities related ... and wealth management businesses. Broad knowledge and experience with broker - dealer regulations is required, while familiarity with...our best. How We Work Vanguard has implemented a hybrid working model for the majority of our crew… more
- Vanguard (Malvern, PA)
- …The ideal candidate will have expertise and knowledge in financial markets and broker - dealer products and services, along with brokerage and banking regulations ... 4 years of related experience required + Knowledge of broker - dealer and banking regulations + Experience and...our best. How We Work Vanguard has implemented a hybrid working model for the majority of our crew… more
- Vanguard (Malvern, PA)
- …of intermediary distribution models for investment products and services, including broker - dealer and RIA aggregator relationships, platform access, omnibus ... execution. Responsibilities: + Demonstrated ability to advise and guide senior leaders across divisions, manage complex projects and multiple...our best. How We Work Vanguard has implemented a hybrid working model for the majority of our crew… more
- Vanguard (Malvern, PA)
- …on providing interpretative advice under the Securities Act of 1933 and 1934, FINRA broker - dealer regulation, ERISA, and the Investment Company Act of 1940. + ... 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… more
- Vanguard (Malvern, PA)
- …leading Margin, Securities Lending, and Asset Servicing for Vanguard's retail broker - dealer . This role oversees the operational effectiveness, risk management, ... client segments with brokerage domain expertise. This includes representing Vanguard's broker - dealer to regulators (eg, FINRA, OCC) and overseeing numerous… more
- Vanguard (Malvern, PA)
- …supervision and relevant supervisory control regulations. + Strong knowledge of Broker Dealer compliance, front-line supervisory practices, and incentive ... within the Service and Operational Excellence (S&OE) Organization. This senior level role is pivotal to building a robust...our best. How We Work Vanguard has implemented a hybrid working model for the majority of our crew… more
- Vanguard (Malvern, PA)
- …teams. + Functional knowledge of the intermediary wealth market (eg, RIA, Broker - Dealer channels). + Experience delivering technology solutions across the ... technical and operational risks. Qualifications: + Proven success in senior technology leadership roles with a track record of...our best. How We Work Vanguard has implemented a hybrid working model for the majority of our crew… more