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Vanguard · 1 week ago

Account Approval Operations Specialist, New Accounts

Malvern, PA

Full-time

Hybrid

Entry Level

1+ years exp

Vanguard is a leading financial services company dedicated to the long-term financial wellbeing of its clients. They are seeking an Account Approval Operations Specialist to ensure compliance and accuracy in onboarding new clients while collaborating with various teams to maintain operational excellence.

FinanceFinancial Services

No H1B

Responsibilities

Review, process and approve new client accounts, ensuring compliance with industry regulations

Conduct routine monitoring and inspections to ensure compliance. Achieve and maintain high levels of quality across the new account processes

Maintain awareness of work volumes to ensure team goals are met and be available to assist with new account functions as needed

Prepare and share action plans for resolution of client requests with business partners, as needed. Provide feedback to peers, promoting continuous improvement

Collaborate with peers, senior administrators, and appropriate leaders to discuss relevant topics and support department consistency

Keep abreast of regulatory procedures and changes, and monitor for business risks and elevate compliance concerns to senior compliance specialists

Participate in special projects and perform other duties as assigned

Qualification

Series 7 licenseSeries 63 licenseSeries 24 licenseRegulatory compliancePrioritizationDecision-makingAdaptabilityCollaboration

Required

Minimum of one-year related work experience

Undergraduate degree or equivalent combination of training and experience

This job requires a Series 7, 63 and 24 (or ability to obtain upon starting position) regulatory license and/or registration (e.g. FINRA, state, SFC). These will be determined by Compliance based on role-specific duties

Company

Vanguard

Glassdoor3.7

Check is a client-owned investment company that offers low-cost mutual funds, ETFs, advice, and related services.

Founded in 1975

Kelayres, Pennsylvania, USA

10001+ employees

http://investor.vanguard.com/corporate-portal

Funding

Current Stage

Late Stage

Total Funding

unknown

Key Investors

ic@3401

2017-03-31Non Equity Assistance

Leadership Team

Salim Ramji

Chief Executive Officer

Andrew Maack

Principal, Head of US Equity Index Portfolio Management

Recent News

PR Newswire

Vanguard Appoints Natalie Lamarque as Chief Legal Officer

2025-09-05

citybiz

Vanguard Managing Director Karin Risi to Retire

2025-03-15

PR Newswire

Vanguard to Establish New Advice & Wealth Management Division Led by Industry Veteran Joanna Rotenberg

2025-03-14

Company data provided by crunchbase