Vanguard is not offering visa sponsorship for this position.
Advocate for all investors!
Vanguard has been entrusted with over $8 trillion in client assets by doing what's right for investors. Our core purpose is to take a stand for all investors, to treat them fairly, and to give them the best chance for investment success. In support of Vanguard's innovative and highly regulated business lines, Vanguard's Compliance Department encounters a wide range of complex issues while providing exceptional, high-value business partnership and compliance support.
As a trusted leader, the
Compliance Director
,
,
Product, Marketing and Advertising
As a Compliance Director, you, directly and through your team, will
- Develop, document, and maintain Vanguards marketing and product development compliance programs following the compliance risk management framework.
- Implement assessment methodologies for compliance with regulatory obligations, while supporting development of policies, procedures, and controls.
- Maintain knowledge and awareness of investment industry trends and products, marketing technologies, and business initiatives.
- Provide strategic support to stakeholders when business initiatives and product or service launches call for engagement with internal and external constituencies.
- Stay abreast of current market and regulatory news serve as an expert resource related to regulatory priorities.
- Adopt and implement best practices to ensure optimal effectiveness for the management and mitigation of regulatory compliance risks, driving collaboration and efficiencies between compliance and enterprise partners.
Primary Responsibilities
- Evaluate and supervise employees on the Compliance team (Crew) by setting performance standards, reviewing performance, and making informed compensation decisions in accordance with applicable Human Resources policies and procedures.
- Provide leadership, guidance, and training to Crew and key firm stakeholders conducting routine monitoring and inspections.
- Partner with business leaders and stakeholders to provide advice and ensure compliance with regulatory requirements.
- Oversee the implementation of compliance controls and corrective action plans to ensure gaps are closed.
- Manage and evaluate operational efficiency. Set measurable standards leveraging internal and external resources accordingly.
- Provide strategic compliance support for business initiatives and new product launches.
What it Takes
- Excellent communication and stakeholder management skills with the ability to translate compliance and regulatory language into actionable insights for all levels.
- Knowledge of FINRA, SEC, and other regulatory requirements, especially as to communications and marketing activities.
- Can navigate ambiguity with ease and bring structure to situations without complete information.
- A bias towards action and the ability to lead independently and drive the performance and accountability of a team.
- Attention to detail, while maintaining a big picture orientation.
Qualifications
- Minimum of eight years related work experience. Supervisory experience preferred.
- Undergraduate degree or equivalent combination of training and experience.
- FINRA Series 7 and 24 are required (if not currently held, will obtain within policy timeframes).
Special Factors
Sponsorship
About Vanguard
We are Vanguard. Together, we're changing the way the world invests.
For us, investing doesn't just end in value. It starts with values. Because when you invest with courage, when you invest with clarity, and when you invest with care, you
can
We want to make success accessible to everyone. This is our opportunity. Let's make it count.
Inclusion Statement
Vanguard's continued commitment to diversity and inclusion is firmly rooted in our culture. Every decision we make to best serve our clients, crew (internally employees are referred to as crew), and communities is guided by one simple statement Do the right thing.
We believe that a critical aspect of doing the right thing requires building diverse, inclusive, and highly effective teams of individuals who are as unique as the clients they serve. We empower our crew to contribute their distinct strengths to achieving Vanguard's core purpose through our values.
When all crew members feel valued and included, our ability to collaborate and innovate is amplified, and we are united in delivering on Vanguards core purpose.
Our core purpose To take a stand for all investors, to treat them fairly, and to give them the best chance for investment success.
How We Work
Vanguard has implemented a hybrid working model for the majority of our crew members, designed to capture the benefits of enhanced flexibility while enabling in-person learning, collaboration, and connection. We believe our mission-driven and highly collaborative culture is a critical enabler to support long-term client outcomes and enrich the employee experience.