Adam Lilly
Financial Compliance Professional・Master of Business Administration
- Role
- Enterprise Growth Fund Compliance Analyst at Vanguard
- Location
- Philadelphia, PA, US
- LinkedIn followers
- 500 followers
About Adam Lilly
Results-driven FINRA-licensed compliance professional (Series 7, 24, 63) with 9+ years at Vanguard, specializing in broker-dealer and investment advisor compliance, regulatory filings, risk-based monitoring, and data analytics. Proven knowledge of FINRA Rules 3110 & 4530, Investment Advisers Act of 1940, and Securities Exchange Act of 1934. Experience in developing Tableau dashboards, automating processes with Power Automate, and driving cross-functional improvements that reduce cycle times, enhance oversight, and support scalable operations in dynamic regulatory environments.
Experience
Enterprise Growth Fund Compliance Analyst
May 2025 — Present · Malvern, PA, US
Serves in a cross-functional role supporting a critical initiative within Vanguard’s fund management business. Provides oversight, advisory support, and risk-based analysis across investment management, legal, and risk partners while operating effectively in a dynamic, ambiguous regulatory environment. • Oversees routine monitoring of mutual funds, shareholder accounts, and registered investment advisors to ensure adherence to regulatory requirements and ethical standards.• Tests and enhances compliance oversight frameworks by evaluating the effectiveness of processes and controls.• Contributes to the development and maintenance of compliance policies, documentation, and manuals.• Researches and prepares comprehensive certifications, filings, and reports for business partners and regulatory agencies.• Advises and collaborates with Investment Management, Risk, Legal, and Strategy teams while serving as a liaison to regulatory agencies and staying current on industry developments.
Education
West Chester University of Pennsylvania
Master of Business Administration - MBA, Business Administration and Management, General
2018 — 2020
West Chester University of Pennsylvania
Bachelor of Business Administration (B.B.A.), Marketing
2013 — 2016
Rutgers University-New Brunswick
None, Undeclared
2011 — 2012
Haddonfield Memorial High School
Diploma
2007 — 2011
Skills
- Teamwork
- Customer Service
- Time Management
- Microsoft Office
- Social Media
- Social Networking
- Leadership
- Critical Thinking
- Customer Satisfaction
- Merchandising
- Retail
- Sales
- Pos
- Micro
- Cashiering
- Restaurants
- Inventory Management
- Networking
- Telephone Skills
- Coremetrics Analytics
- Tableau
- Microsoft Excel
Find verified contacts for anyone on LinkedIn
Unifers gives sales teams verified emails and direct dials, enriched profiles, and outreach that lands in the inbox.
Free plan included · No credit card required
This profile is compiled from publicly available professional sources. Unifers is not affiliated with or endorsed by LinkedIn. Request removal of this profile.