KELLY CORNWELL is a Compliance Manager at Vanguard, leading broker dealer and intermediary inspections. She supports enterprise-wide compliance activities to sustain and strengthen the adherence to rules of regulations. Kelly has been with Vanguard for more than 16 years, where she has held various roles within brokerage operations, client services, and mutual fund operations. Her background includes extensive experience with the transfer process from both broker dealer and fund company perspectives. Prior to joining Vanguard, she was a Financial Advisor with AXA Advisors. Kelly serves as the Chair of the Securities Industry and Financial Markets Association (SIFMA) Customer Account Transfer Forum, and was a winner of the 2018 NICSA NOVA Award for Emerging Leaders in Asset Management. She holds FINRA Series 63, 7, and 24 licenses.