Compliance Director, Retail Advice

2 days ago

Charlotte NC United States Vanguard Full time

Financial integrity from the inside out

Vanguard’s 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 our innovative, multi-faceted and highly regulated business lines, Vanguard’s Compliance Department encounters a wide range of complex and compelling issues while providing exceptional, high-value business partnership and compliance support. To support its growing and evolving service offerings, Vanguard seeks a highly skilled senior compliance professional to lead a compliance team supporting our advice service businesses and trust services business. The ideal candidate will have Investment Advisers Act experience, including ERISA, and a minimum of 8 years of supporting retail and retail investment advice/wealth management businesses. Broad knowledge of broker-dealer, banking, and trust company regulations will complement the required skills.

The Compliance Director, Retail Advice will:

  • Serve as a trusted advisor to Vanguard’s advice businesses. Work collaboratively with the businesses to develop policies, procedures and controls designed to ensure compliance with applicable laws and regulations.
  • Lead, manage, and participate in compliance oversight efforts and projects within Vanguard’s advice and wealth planning businesses and across the company to protect Vanguard’s reputation. Utilize risk management techniques and business area knowledge to develop, maintain and test relevant policies and procedures. Coordinate, prioritize and actively manage tasks as needed to meet deadlines.
  • Present key findings and recommendations to business and Compliance management. Elevate issues, identify priorities. Track follow-up items to ensure they are appropriately resolved. Demonstrate initiative and creativity in independently recommending and implementing solutions to business contacts and senior leaders.
  • Foster lines of communication between, and with, business leaders, the Legal Department, Compliance Department colleagues, global partners, and other control groups. Coordinate activities and efforts as required with other Compliance teams and global partners.
  • Develop, maintain, and demonstrate a thorough understanding of all regulations that are applicable to Vanguard’s advice and wealth management businesses; monitor developments, proposed rule changes and amendments in applicable rules and regulations, assess the potential impact to Vanguard’s operations, and coordinate implementation of rules that are adopted or finalized.
  • Manage, coordinate, and ensure readiness for regulatory examinations. As appropriate, act as a liaison with regulators and impacted business areas by preparing for meetings and coordinating the gathering and production of requested documents in connection with examinations or other regulatory inquiries.
  • Manage a team of compliance professionals. Provide guidance and training to help develop team members. Set performance standards, review performance, and provide feedback to team members.
  • Seek to continually assess and enhance compliance policies, procedures, and controls specific to the business unit. Direct team activities and partner closely with business unit leaders during the implementation of compliance standards and practices with respect to business initiatives and new product launches.
  • Review metrics for operational efficiency to determine gaps and strategy for continuous improvement. Develop and deliver required reporting on compliance exams/audits to senior business leadership.
  • Manage cross-department initiatives and serve as an expert and key resource related to compliance issues.
  • Participate in special projects and perform 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 does not require regulatory licenses and/or registration (e.g., FINRA, state) but licenses are helpful.

Special Factors

Sponsorship

Vanguard is not offering visa sponsorship for this position.

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