Join to apply for the Senior Compliance Specialist Financial Services (Broker-Dealer Cash Program) role at Vanguard .
We are seeking a seasoned compliance professional to lead monitoring and testing for our broker-dealers Cash program, which includes banking-like features such as deposits, money movement, and fraud controls. This role is critical to ensuring regulatory alignment across operations that intersect with consumer protection laws and payment systems.
The ideal candidate will hold an active CRCM certification and demonstrate deep expertise in Regulation E , Regulation CC , NACHA rules , and FINRA oversight . You will design and execute compliance testing frameworks, conduct regulatory due diligence, and validate control effectiveness across complex operational workflows.
If you thrive in a fast-paced, precision-driven environment and are passionate about protecting investors while enabling innovation, we invite you to shape our compliance strategy and elevate our client experience.
Sponsorship
Vanguard is not offering visa sponsorship for this position.
At Vanguard, we don't just have a missionwe're on a mission to work for the long-term financial wellbeing of our clients. To lead through products and services that transform our clients' lives. To learn and develop our skills as individuals and as a team. From Malvern to Melbourne, our mission drives us forward and inspires us to be our best.
Vanguard has implemented a hybrid working model for the majority of our crew members, designed to capture the benefits of enhanced flexibility while enabling in-person learning, collaboration, and connection. We believe our mission-driven and highly collaborative culture is a critical enabler to support long-term client outcomes and enrich the employee experience.
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