Responsible for the development, implementation, and maintenance of an effective compliance program for business activities and products. Advises on regulatory risks, business operations and implements required oversight policies and procedures.

Core Responsibilities

• Develops, implements and maintains an effective compliance program for brokerage business activities, services and products. Partners with business leaders and stakeholders to provide advice and ensure compliance with regulatory requirements.

• Manages the prioritization of and leads the development of strategies and initiatives to incorporate changes in sales and client engagement practices related technology initiatives or marketing collateral.

• Maintains and revises compliance program policies and procedures. Designs, implements, and maintains new compliance standards.

• Identifies and implements corrective action plans for resolution of complex, problematic issues.

• Evaluates and communicates operational efficiency and effectiveness of compliance programs. Sets measurable standards leveraging internal and external resources accordingly.

• Serves as an expert and key resource related to compliance programs and regulatory matters relevant to business operations.

• Leads regulatory visits, exams, inquiries and complex investigations within the business.

• Participates in special projects and performs other duties as assigned.

Qualifications

• Minimum of eight years related work experience. Supervisory experience preferred.

• Undergraduate degree or equivalent combination of training and experience.

• This job requires a regulatory license and/or registration (e.g. FINRA, state, SFC). These will be determined by Compliance based on role-specific duties.

Special Factors

Sponsorship

Vanguard is not offering visa sponsorship for this position.

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 get so much more in return. We invest with purpose – and that’s how we’ve become a global market leader. Here, we grow by doing the right thing for the people we serve. And so can you.

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 Vanguard's 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.

Vanguard, one of the world's largest investment management companies, serves individual investors, institutions, employer-sponsored retirement plans, and financial professionals. We have a diverse and talented crew with a culture that promotes teamwork, along with an unwavering focus on serving our clients' best interests.

This website uses "cookies" to distinguish you from other users. A cookie is a small file of letters and numbers placed on your computer or device. This helps us to provide you with a good experience when you browse our website and also allows us to improve our site and services. The cookies are stored locally on your computer or mobile device. To accept cookies you can continue browsing as normal. Or you can go to our Privacy Policy (https://www.vanguardjobs.com/site-privacy-policy/) to read more information and learn how to change your preferences.