About this role
Brokerage Program Compliance Specialist at Vanguard. Location: Texas or Dallas or Charlotte or Malvern or Scottsdale. Role: creating procedures, coordinating records, preparing presentations Requirements: 3+ years Broker/Dealer experience, undergraduate degree or equivalent, Series 7 (or obtain within 120 days), regulatory/compliance experience preferred, presentation and records coordination skills. Category: Legal and Compliance Seniority: Mid Level Certifications: series 7 Commitment: Full Time Workplace: Hybrid Languages: English