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Compliance Director - Head Of Oversight Programs, Fund And Advisor Compliance
Company | Vanguard |
Address | Charlotte, NC, United States |
Employment type | FULL_TIME |
Salary | |
Category | Financial Services |
Expires | 2023-10-02 |
Posted at | 8 months ago |
Builds and supports a team that develops and executes the compliance oversight programs for Vanguard’s funds and investment advisers pursuant to Rules 38a-1 and 206(4)-7. This role will entail working across the Compliance Department, Office of General Counsel, throughout the wider Vanguard organization, and with third-party service providers. The person in this role will also lead the team that composes the Chief Compliance Officer's report to Vanguard's Board of Directors. The appropriate candidate for this role will have experience with compliance oversight programs, related policies and procedures, and composing related reports for use by senior management and boards.
- Hires, evaluates, and supervises crew. Provides guidance and training as necessary to develop crew. Sets performance standards, reviews performance, and makes informed compensation decisions in accordance with all applicable Human Resources policies and procedures.
- Responsible for maintaining and revising policies and procedures for the general operation of the compliance program and its related activities. Oversees the design, implementation, execution, and maintenance of new compliance standards.
- Participates in special projects and performs other duties as assigned.
- Oversees the implementation of compliance controls to ensure gaps are closed.
- Provides leadership and oversight over a team conducting complex visits, exams, and inquiries. Partners with business leaders and stakeholders to provide advice and ensure compliance with regulatory requirements.
- Manages and evaluates operational efficiency. Sets measurable standards leveraging internal and external resources accordingly.
- Provides strategic compliance support for business initiatives and new product launches.
- Serves as an expert and key resource related to compliance issues.
- Identifies and implements corrective action plans for resolution of complex, problematic issues.
- Strong process background and organizational skills
- Undergraduate degree or equivalent combination of training and experience.
- Minimum of eight years related work experience. Supervisory experience preferred.
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