Job Information
Vanguard Senior Director, Enterprise Compliance in Malvern, Pennsylvania
As the Head of Enterprise Compliance, this individual will provide strategic leadership and direction on non-product specific compliance risks that can impact Vanguard. Examples of the topical domains included under the remit of this role are Fiduciary Risk, Human Resources, IT, Finance, Data, and Vanguard’s exemptive relief. Successful applicants will have deep subject matter experience in at least one of the topical domains, experience with asset management compliance, a history of successful team leadership and talent development, and a strong track record of building effective relationships with business partners to drive robust compliance risk management. This is a new role, as such, the successful candidate will need to build a vision for the team and compliance approach. Successful candidates will demonstrate comfort and energy when working with ambiguity and have experience in compliance program design. This role reports to the Vanguard Chief Compliance Officer and is a member of the Compliance Leadership Team.
Core Responsibilities:
Engage with and educate business partners on regulations impacting Vanguard; ensure regulatory requirements are understood and controls and operating environments are designed to meet regulations and industry standards.
Assist with the design and management of Compliance governance forums and serve as a guide to business partners and corporate functions in navigating enterprise regulatory matters.
Participate in governance activities, provide compliance guidance on compliance issues, corporate programs, and operations.
Build out aspects of the Compliance Oversight program, including the regulatory inventory, risk assessment, and management reporting, across domains.
Hire, evaluate, and supervise crew. Provide guidance and training to develop crew, set performance standards, review performance, and make informed compensation decisions in accordance with all applicable Human Resources policies and procedures.
Oversee and manage a centralized regulatory response program, coordinate regulatory examinations, support exam requests and inquiries, and ensure regulatory compliance.
Lead the development of compliance policies and procedures and partner with business leaders to oversee the implementation of compliance standards and practices.
Drive the identification and development of corrective action plans to resolve problematic compliance issues. Develop strategies and practices to reduce potential for violations and noncompliance.
Maintain an expert knowledge and awareness of the investment industry. Stay abreast of current market, regulatory and industry relevant news. Serve as an expert and key resource related to compliance issues.
Participate in special projects and performs other duties as assigned.
Qualifications:
Previous experience in designing and leading enterprise compliance teams.
JD required
Minimum of 12 years related work experience ; s upervisory experience required .
Undergraduate degree or equivalent combination of training and experience,
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.
