Compliance Director, Regulatory Exam Response

2 days ago

Malvern, United States Vanguard Full time

Compliance Director, Regulatory Exam Response

Advocate for all investors

Vanguard has been in trusted with over $8 trillion in client assets by doing what’s right for investors. Our 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 Vanguard’s innovative 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. 

As a trusted leader, the Compliance Director, Regulatory Exam Response will provide direction to a dynamic team of compliance professionals focused on carrying forward the tone for regulator engagement and exam and inquiries response on behalf of Vanguard Marketing Corporation, an affiliated self-clearing broker dealer and distributor of Vanguard products. The Regulatory Exam Response team is our first line for regular engagement with regulators and is charged with coordinating and managing examinations and other regulatory reviews. As a critical member of the Distribution & Brokerage Compliance team, this leader along with direct reports, will serve as a trusted advisor to Firm stakeholders by providing guidance on expectations required of them for written exam requests and in person/virtual discussions with regulators.

As a member of the Compliance team, you, directly or through your team, will:

  • Maintain and cultivate a team-oriented culture for efficiently and effectively managing regulatory examinations and other regulatory reviews, by fostering strong relationships with key senior stakeholders across the enterprise, as well as the legal, risk and other support compliance functions.
  • Maintain knowledge and awareness of the investment industry and the business operations and initiatives.
  • Stay abreast of current market, regulatory and industry relevant news and serve as an expert and key resource related to regulatory priorities and examination matters.
  • Provide strategic support to stakeholders when business initiatives and new product or service launches call for engagement with regulatory agencies.
  • Adopt and implement best practices within the industry to ensure optimal effectiveness of management and mitigation of regulatory and compliance risks, including driving collaboration and efficiencies between relevant compliance teams and partners throughout the enterprise.

Principal Responsibilities:

  • Evaluate and supervise employees on the compliance team (Crew) by setting performance standards, reviewing performance, and making informed compensation decisions in accordance with all applicable Human Resources policies and procedures.
  • Provide leadership, guidance, and training, as necessary, to Crew and key Firm stakeholders.
  • Drive and oversee the onboarding, responsiveness, and execution of examinations in partnership with the business from the perspective of continuous improvement.
  • Compile and review documentation for responsiveness to both regulatory exam requests and other regulatory reviews and ensure the material is reviewed and approved by key Firm stakeholders. 
  • Maintain exam and regulatory request records in accordance with regulation and provide status updates to Firm stakeholders as appropriate. 
  • Identify and coordinate remediation action plans in partnership with the business and compliance advisors for resolution of complex, problematic issues.
  • Invest in the growth, development, and success of employees on the team over the course of their Vanguard careers.
  • Perform other duties and responsibilities as assigned.

What it Takes:

  • Expert knowledge of financial markets, investment products, trading and brokerage operations.
  • Expert knowledge of FINRA, SEC, state, and other regulatory requirements applicable to a self-clearing broker-dealer and transfer agent holding retail investor securities.
  • Attention to detail, while maintaining a big picture orientation.
  • Ability to work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment.
  • Superior written and verbal communication skills with the ability to flex interpersonal and communication styles effectively with various levels within the enterprise including the ability to communicate technical topics in concise terms that non-technicians can fully understand.
  • Ability to provide leadership and professional guidance to a geographically dispersed team, with the ability to attract, advance and retain top talent.
  • A bias towards action and the ability to lead independently and drive the performance and accountability of a team.
  • A partnership-focused philosophy to accomplish objectives.

Qualifications:

  • Minimum of eight years related work experience. Supervisory experience preferred.
  • Juris doctor or equivalent combination of training and experience demonstrating strategic verbal and written advocacy.
  • FINRA Series 7 and 24 are required (must obtain within 6 months if not currently held).

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.

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