What is the Client Communication Center?

The Client Communication Center is a team within the Transfer Agency Operations dedicated to providing exceptional support and service to a diverse range of clients. This would include broker-dealers, clearing hubs, record-keepers, insurance companies, and bank trust clients. Internally, we collaborate closely with Vanguard Brokerage, the US Ownership Group, Financial Advisory Services (FAS) Intermediary Relationship team, and other groups within FAS.

In addition to taking calls, the team processes trades that fall out of the automated path (NSCC, ETS and Web), manage the automated LT and email reporting processes, complete auditor requests, incoming emails, and manages some related control reports. Our team is committed to ensuring seamless client interactions and effective management of various financial activities through meticulous monitoring, timely communication, and tailored solutions, by leveraging advanced systems and a proactive approach.

Responsibilities:

• Supports prioritization of operational tasks. Assesses operational activities and implements corrective steps to ensure processing is performed in an accurate and timely manner.
• Leads the coordination across internal teams and may act as a key contact with external vendors to solve multi-team problems. Facilitates dialogue on systems or operational issues and enhancements with internal colleagues.
• Prepares reports and communicates with managers regarding quality, volumes, and additional metrics. Documents and communicates effectiveness of various processes, workflows, and operations.
• Applies in-depth knowledge of compliance, regulatory and departmental policies and procedures in developing operational solutions. Applies and monitors various controls to ensure adherence to processing policies and procedures. Performs reviews to identify quality assurance issues.
• Monitors processes to ensure service meets expectations and provides expertise and guidance for the resolution of complex issues. Coaches and trains crew on processes, procedures, and quality standards.
• Participates in special projects and performs other duties as assigned.
  
  
  

Qualifications:

• Minimum two years related experience required. Two years' experience in operations processing preferred.
• Undergraduate degree or equivalent combination of training and experience.
• This job requires the FINRA Series 6, 63 regulatory license and/or registration (e.g. FINRA, state, SEC). These will be determined by Compliance based on role-specific duties.
  
  
  

Special Factors

Sponsorship

Vanguard is not offering visa sponsorship for this position.

About Vanguard

At Vanguard, we don't just have a mission—we'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.