Raymond P.

Background

About Raymond P.

As a Senior Compliance Analyst at Vanguard, I apply my extensive experience in the financial industry to ensure that our clients and our firm comply with anti-money laundering (AML) regulations and policies. I handle complex and escalated cases, conduct research, and communicate effectively with internal and external stakeholders to resolve outstanding issues. I also contribute to the continuous improvement of our processes and procedures, leveraging my analytical and problem-solving skills. Before joining the AML team, I worked in various front and back office operations at Vanguard, gaining a comprehensive knowledge of the firm's funds, products, and services, as well as the legal, tax, and regulatory issues in the financial sector. I led several initiatives to eliminate waste, develop workflows, train colleagues, and audit vendors, resulting in increased efficiency, quality, and customer satisfaction. I hold a bachelor's degree in Criminal Justice from Widener University and the Series 7 and 63 licenses issued by FINRA. I am passionate about delivering exceptional results that meet the highest standards of compliance, risk management, and customer service.