Compliance Supervisor
On-site · Scottsdale, Arizona, United States
Scottsdale, Arizona, United StatesOn-siteFull TimeMid LevelBachelors DegreeFINANCEEnterprise
Type
Full Time
Level
Mid Level
Education
Bachelors Degree
Company size
Enterprise
Industry
FINANCE
Job Summary
Leads a team responsible for licensing submissions and renewals, maintains Vanguard's licensing and registration database, coordinates mandatory training and continuing education, and serves as a liaison with regulatory agencies to ensure compliance and readiness across the business. The role involves people leadership, operational oversight, staying current on industry and regulatory developments, and supporting issue resolution and data integrity.
Required Qualifications
- Minimum of three years related work experience
- Undergraduate degree or equivalent combination of training and experience
- This job requires a regulatory license and/or registration (FINRA 7 & 24)
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