My client, a well-known Financial Company in Malvern, is looking for 3 Financial Crimes Analysts to join their team.
???Respond to internal inquiries, provide guidance and rationale for recommendation, and suggest alternative approaches regarding activities of the Vanguard Marketing Corporation (VMC) to ensure that they are in compliance with applicable rules and/or policies.
???Work closely with manager/ supervisor to obtain guidance in complex or unique situations for the Vanguard business units regarding various compliance/ regulatory questions or issues.
???Analyze materials and processes, research issues, help prepare findings reports.
???Through performance of daily functions, identify areas of noncompliance and take necessary actions to correct, which may include notifying manager/supervisor and/or working with various business units to revise policies, procedures or practices.
???Handle multiple assignments simultaneously from conception through execution and implementation of recommendations. Coordinate, prioritize, and actively manage tasks as needed to meet deadlines.
???Develop, maintain, and broaden effective working relationships across applicable business areas. Foster lines of communication between, and with, business contacts, the Legal Department, Compliance Department colleagues, and other control groups. Participate in activities and efforts as required with other Compliance teams and business partners.
Working hours: 8:00 AM - 5:00 PM
-Attention to detail is a must
-Ability to identify trends and patterns
-Ability to maintain confidentiality
-Familiarity with Thompson One
???Undergraduate degree or equivalent experience preferred.
???Series 7 and 63 financial licenses required, Series 24 preferred
???Minimum two year business experience. Regulatory, compliance, investment, or auditing experience preferred.
???Broad understanding of broker dealer business and the broker dealer industry; knowledge of and experience with SEC, FINRA, OCC and MSRB regulations preferred.
If you have experience with broker dealer business and a keen eye, please submit your resume to ...@vanguard.com
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