Jim Rauchen

Experience

• 

  Vanguard

  Aug 2008 - Jun 2011

  Investment Professional

  Assist clients and prospects with on-boarding process and paperwork. Assist with securities transactions including stocks, ETF's and mutual funds. Train new hires and provide existing employees with overviews of the department. Adjunct Professor for Vanguard University.

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  Vanguard

  Sept 2011 - Jul 2019

  Lead team of 7 retail fixed income traders. Responsibilities include:• Establish and execute upon Fixed Income’s organizational and strategic goals, operating procedures, as well as broader tactical plan initiatives.• Maintain a consistent, strong focus on compliance and risk management.• Participate in root cause analyses to correct and/or prevent deviations in processes and workflows.• Assure that we meet/exceed department goals for client service, client satisfaction, trade errors, defects and other measures of CRM, risk management and operational efficiency.• Lead various initiatives covering regulatory issues, industry and Vanguard topics and CRM skills improvement.• Training Team – lead seven-member team charged with designing, implementing and delivering monthly departmental training for 60+ person department. Project Lead MSRB Reg G3 annual firm element. Recruit team from all stakeholders including Licensing & Compliance and P & S; develop project charter and schedule; gather data; design, create, deliver module; track completion and archive results to meet regulatory audit compliance.• PA Fixed Income Tax Subject Matter Expert and Adjunct Faculty member at Vanguard University Show less

  • Senior Trader - Block & Options Desk at Vanguard

    Jul 2017 - Jul 2019

  • Supervisor - Fixed Income Desk

    Jan 2014 - Jul 2017

  • Bond Trader

    Sept 2011 - Jan 2014
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  Daniel Boone Middle School

  Sept 2019 - now

  Substitute Teacher