Emily Stuart Email & Phone Number

• Designed, developed, implemented, and maintained a comprehensive compliance monitoring and testing program of both ongoing and targeted testing for Vanguard’s Advice offers.
• Served as a trusted advisor to the business and provided guidance and oversight of regulated activities. Used data from testing results to evolve the oversight program and identify areas to advise the business to.
• Provided support with routine full-scope exams by the Office of the Comptroller of the Currency (OCC) during 2023 and 2024.

• Created and maintained the VNTC Policy and Procedure manual for the OCC inspections. Maintained accurate policies and procedures for the business through collaboration with leadership, compliance partners, and business.
• Supported new products and offerings for VNTC, while maintaining a pulse on the regulatory requirements for each new initiative.
• Successfully managed the ownership of the Personal Advisor Services (PAS) Process Team semi-annual audit of policies and procedures.

Malvern, Pennsylvania

• Planned, executed, and delivered risk assessments utilizing risk management framework to identify and evaluate risks and controls related to business processes. Participated in presenting risk assessment findings.
• Collaborated with business leaders to design and implement new controls and adjust existing controls to close gaps and strengthen the overall control environment. Responsible for managing Issue and Event documentation.

Malvern, Pennsylvania

• Prioritized and managed client interactions through book of business management and proactive outreach to 600+ high net worth client groups consisting of $1 to $5 million in Vanguard assets. Proactively identified.

Malvern, Pennsylvania

• Supported aligned Financial and Trust Advisors in managing relationships for 600+ high net worth client groups within VNTC. Administered trust-centric portfolios to ensure accurate account processing through flawless.

Malvern, Pennsylvania

• Recognized for providing exceptional service and investment guidance to clients with up to $1 million in assets by leveraging strong knowledge of Vanguard funds; financial markets; relevant legal, tax, and regulatory.