Review, process, and approve new client accounts in accordance with industry regulations and company policies.
Monitor account activity and perform quality reviews to help ensure regulatory compliance and operational excellence.
Manage daily work volumes while supporting team goals and assisting with account approval activities as needed.
Partner with internal stakeholders to resolve client requests and contribute to continuous process improvement.
Collaborate with peers, senior administrators, and leaders to promote consistency and share best practices.
Stay current on regulatory requirements, identify potential risks, and escalate compliance concerns when appropriate.
Participate in special projects and contribute to initiatives that enhance the client and crew experience.

Minimum of one-year related work experience in financial services, brokerage operations, compliance, account onboarding, or a related field.
Undergraduate degree or equivalent combination of training and experience.
Active FINRA Series 7, 63 and 24 preferred.
Strong attention to detail with a commitment to accuracy and quality.
Excellent communication, organizational, and problem-solving skills.
Ability to work both independently and collaboratively in a fast-paced environment.

Fully paid training, coaching, and support to obtain the FINRA Series 7, 63 and 24 licenses.
Learning and development opportunities to build your skills and grow your career.
Hands-on coaching and mentorship from experienced leaders.
Training in Vanguard's products, services, and operations to help you make a meaningful impact on our clients.

Account Approval Operations Specialist – New Accounts

Key skills