Business Unit & Product Compliance Analyst, Specialist

locations Malvern, PA Scottsdale, AZ Charlotte, NC time type Full time posted on Posted Today time left to apply End Date: July 8, 2025 (14 days left to apply) job requisition id 168644 Job Description Regulatory Engagement & Tracking: Maintain and track regulatory inquiries, submissions, and correspondence, in an organized and consistent manner to ensure timely, accurate responses and alignment with compliance requirements and regulatory expectations. Reporting & Documentation: Maintain a repository of past regulatory responses, and exam reports; support knowledge sharing across compliance and business teams. Prepare and distribute regular reports summarizing regulatory interactions, including status updates, key themes, and emerging issues. Business Partner Communication: Act as a liaison to business units to communicate regulatory expectations and response strategies in clear, actionable terms. Process Coordination: Support the development and refinement of workflows for regulatory response and issue tracking. Meeting & Task Support: Lead coordination of meetings with regulators and internal teams; track follow-up items and ensure accountability across departments. Cross-Functional Collaboration: Collaborate to align messaging and ensure consistency in regulatory responses; participate in task forces or working groups as needed. Core Competencies Able to contribute to team direction and influence outcomes through collaboration and communication. Exhibits exceptional organizational skills and attention to detail, critical for managing regulatory inquiries, tracking response deadlines, and ensuring the accuracy and completeness of submissions to oversight bodies. Skilled at reviewing and summarizing information to support clear and concise messaging. Comfortable presenting project updates and contributing to discussions around recommendations and outcomes. Works well in team-oriented environments; dependable team player who supports group goals and contributes to shared success. Proactive and motivated self-starter with a strong sense of responsibility and commitment to meeting goals. Demonstrates professionalism, reliability, and a positive attitude in the workplace. Maintains high standards of integrity, ethics, and confidentiality. Qualifications Minimum of three to five years relevant work experience, regulatory, compliance, or investment experience preferred. Undergraduate degree or equivalent combination of training and experience. Excellent communication skills with the ability to independently engage with regulators, senior management, and internal teams. Strong organizational and communication skills. Attention to detail, with the capability to manage complex regulatory reporting and documentation requirements. To be successful in this compliance role, candidates should either possess or demonstrate a willingness to obtain FINRA licenses (e.g., Series 7, 24). Special Factors Sponsorship Vanguard is not offering visa sponsorship for this position. About Vanguard 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 product 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. How We Work 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.

Created: 2026-03-05