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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
Job Description
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.


Core Responsibilities:


  • 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.


Qualifications:


  • 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.


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.


Special Factors


Sponsorship


Vanguard is not offering visa sponsorship for this position.