Leads a Trade Support & Order Management team within the Equities, ETFs, & Options department, which is responsible for pre-trade review of customer orders, researching and resolving trading disputes, and oversight of key trading controls. The ideal candidate will display an expertise or interest in brokerage trading and operations along with experience in leading crew.

Core Responsibilities

1. Hires, evaluates, and supervises crew. Provides guidance and training as necessary to develop crew. Sets performance standards, reviews performance, and makes informed compensation decisions in accordance with all applicable Human Resources policies and procedures.

2. Reviews team operations to ensure efficiency and compliance with industry regulations. Develops processes and procedures to improve operational effectiveness in relation to brokerage functions. Conducts regulatory supervision of both the registered and associated crew on their respective team and the functions these direct reports support and/or execute. May own various written supervisory procedures to ensure compliance with regulars.

3. Manages complex elevated client issues and oversees resolution of errors. Mitigates risk by appropriately prioritizing resolutions when errors arise.

4. Develops and uses expert knowledge of multiple trading operation platforms to ensure appropriate handling of trade corrections. Builds upon in-depth knowledge of compliance, regulatory, and departmental policy and procedures to guide the team. Maintains awareness of departmental and regulatory changes.

5. Builds strong partnerships with business partners across department to ensure appropriate feedback is provided when errors occur. Utilizes these partnerships to mitigate further risk and error volumes through active problem solving and introduction of controls.

6. Manages delivery of project initiatives. Leads staff to achieve established goals by overseeing resource allocation and implementing timelines, schedules, and statistical data.

7. Participates in special projects and performs other duties as assigned.

Qualifications

• Minimum of five years related work experience, with two years of brokerage experience.

• Undergraduate degree or equivalent combination of training and experience.

• This job requires a regulatory license and/or registration (e.g. FINRA, state, SFC). These will be determined by Compliance based on role-specific duties. For this role, we require the Series 7 and Series 63 prior to being hired. The role also requires the Series 24 and Series 4, however, this may be obtained post-hire.

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.