Senior Brokerage Program Compliance Specialist Job Fort Worth area,Texas USA,Finance & Banking

Supports the development, implementation, and maintenance of business unit compliance processes, as well as compliance monitoring related to business activities and investment products. Serves as a trusted advisor to the business. Provides guidance and oversight of regulated activities.

As a trusted compliance advisor, this role partners closely with stakeholders to ensure regulatory program requirements and documentation are supported and embedded into business processes. Combining strategic thinking, compliance expertise, and a keen eye for detail, the Sr. Compliance Specialist provides guidance on what needs to be presented, updated, or enhanced while driving effective risk oversight and operational excellence. Experience leveraging emerging technologies, including AI, to improve compliance processes is highly valued.

Core

Responsibilities

Serves as an experienced advisor to the business and interfaces regularly with business unit stakeholders and compliance partners

Supports the business during regulatory visits, exams, inquiries and investigations within the business. Provides guidance to mitigate compliance risks and control gaps.

Oversees the design, implementation, execution, and maintenance of compliance policies and procedures. Supports the development of new compliance standards.

Identifies and implements corrective action plans for resolution of problematic issues.

Manages operational efficiency and process improvement initiatives, setting measurable standards, timelines and ensuring deadlines are met

Serves as an expert on compliance programs and regulatory matters relevant to business operations.

Participates in special projects and performs other duties as assigned.

Qualifications

Minimum of five years related work experience, with at least two years within a financial services compliance function.
Undergraduate degree or equivalent combination of training and experience.
This job requires a regulatory license and/or registration (e.g. FINRA, state, SFC). These will be determined by Compliance based on role‑specific duties.

Special Factors

Vanguard is not offering visa sponsorship for this position.

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