Senior Manager, Brokerage Margin

Job in Scottsdale, Maricopa County, Arizona, 85261, USA

Listing for: The Vanguard Group

Full Time position
Listed on 2026-07-11

Job specializations:

Finance & Banking
Risk Manager/Analyst, Regulatory Compliance Specialist, Financial Compliance
Management
Risk Manager/Analyst, Regulatory Compliance Specialist

Salary/Wage Range or Industry Benchmark: 120000 - 180000 USD Yearly USD 120000.00 180000.00 YEAR

Leads the Credit and Margin Teams. To support strategic and operational development efforts pertaining our offer, scalability and managing critical risks.

Responsibilities

Hires, evaluates, and supervises crew. Provides guidance and training as necessary to develop crew. Sets performance standards, reviews performance, and makes informed compensation decisions in accordance with all applicable Human Resources policies and procedures.

Leads strategic planning efforts. Ensures operational aspects are met for the department. Establishes short and long term goals, and leads strategic planning efforts.

Champions the strategy for all operational processing activities across teams. Drives service enhancements, growth strategies, cost reduction efforts, and pricing changes.

Monitors change in regulation, legislation, and the financial markets. Develops risk mitigation strategies, adheres to various control regulatory and internal standards to ensure compliance with all policies and procedures.

Collaborates across departments to break down processing issues, avoiding critical barriers to operational efficiencies and enhancing the long-term effectiveness of the team's day-to-day activities.

Works closely with internal and external partners and clients. Maintains communication with key stakeholders, anticipates client needs, and ensures satisfaction related to services provided.

Participates in special projects and performs other duties as assigned.

Qualifications

Undergraduate degree or equivalent combination of training and experience.
Minimum of eight years related work experience in financial services. Supervisory experience preferred.
This job requires a regulatory license and/or registration (e.g. FINRA, state, SFC). These are determined by Compliance based on role‑specific duties. For this role we require the Series 7 and Series 63 prior to being hired. The role also requires the Series 23, however this may be obtained post‑hire.
Ability to work a Hybrid schedule with routine in‑office days of every Tuesday, Wednesday and Thursday.

Special Factors Sponsorship

Vanguard is not offering visa sponsorship for this position.

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