Compliance Director, Sales

4 weeks ago

Malvern, United States Vanguard Full time

Responsible for the development, implementation, and maintenance of an effective compliance program for business activities and products. Advises on regulatory risks, business operations and implements required oversight policies and procedures.

Core Responsibilities

* Develops, implements and maintains an effective compliance program for brokerage business activities, services and products. Partners with business leaders and stakeholders to provide advice and ensure compliance with regulatory requirements.
* Manages the prioritization of and leads the development of strategies and initiatives to incorporate changes in sales and client engagement practices related technology initiatives or marketing collateral.
* Maintains and revises compliance program policies and procedures. Designs, implements, and maintains new compliance standards.
* Identifies and implements corrective action plans for resolution of complex, problematic issues.
* Evaluates and communicates operational efficiency and effectiveness of compliance programs. Sets measurable standards leveraging internal and external resources accordingly.
* Serves as an expert and key resource related to compliance programs and regulatory matters relevant to business operations.
* Leads regulatory visits, exams, inquiries and complex investigations within the business.
* Participates in special projects and performs 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 requires a regulatory license and/or registration (e.g. FINRA, state, SFC). These will be determined by Compliance based on role-specific duties.

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.

  • Compliance Director, Sales

    4 weeks ago

    Malvern, United States The Vanguard Group Full time

    Responsible for the development, implementation, and maintenance of an effective compliance program for business activities and products. Advises on regulatory risks, business operations and implements required oversight policies and procedures. Core Responsibilities Develops, implements and maintains an effective compliance program for brokerage business...

  • Marketing / Sales Director

    1 week ago

    Malvern, United States SageLife Full time

    Imagine a career that lets you enliven a senior's life every day - just by walking into a room, offering a helping hand or lending an ear to hear a good tale. Sound like you? Then welcome to SageLife.Here, we believe it's important for our team members to be as happy as our residents. That's why we offer:A competitive compensation and benefits package ...

  • Compliance Director, Regulatory Exam Response

    1 month 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...

  • Compliance Director, Regulatory Exam Response

    1 month 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...

  • Compliance Director, Regulatory Exam Response

    2 weeks 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...

  • Marketing / Sales Director

    1 week ago

    Malvern, United States SageLife Full time

    SageLife's mission is to create the best home for each member of the SageLife family every day by encouraging, empowering, and celebrating successful aging. The Sage family includes our residents, their family members and our associates. Every day, we work hard to fulfill our mission. We encourage and desire people who have a passion for working with seniors...

  • Marketing / Sales Director

    2 weeks ago

    Malvern, United States SageLife Full time

    SageLife's mission is to create the best home for each member of the SageLife family every day by encouraging, empowering, and celebrating successful aging. The Sage family includes our residents, their family members and our associates. Every day, we work hard to fulfill our mission. We encourage and desire people who have a passion for working with seniors...

  • Compliance Director, Regulatory Exam Response

    2 months ago

    Malvern, United States Vanguard Full time

    Compliance Director, Regulatory Exam ResponseAdvocate for all investorsVanguard 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...

  • Compliance Director, Regulatory Exam Response

    2 weeks ago

    Malvern, United States Vanguard Full time

    Compliance Director, Regulatory Exam ResponseAdvocate for all investorsVanguard 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...

  • Managing Director, Institutional Sales

    3 weeks ago

    Malvern, United States Pacer ETFs Full time

    Pacer Advisors, Inc.Managing Director -Institutional Sales  Pacer ETFs has experienced significant growth since starting as an ETF issuer 9 years ago and now has over $40 billion in AUM. Pacer has developed relationships with every broker dealer platform and their advisor network. We are now seeing demand for our solutions from other business areas such...

  • Managing Director, Institutional Sales

    3 weeks ago

    Malvern, United States Pacer ETFs Full time

    Pacer Advisors, Inc.Managing Director -Institutional Sales  Pacer ETFs has experienced significant growth since starting as an ETF issuer 9 years ago and now has over $40 billion in AUM. Pacer has developed relationships with every broker dealer platform and their advisor network. We are now seeing demand for our solutions from other business areas such...

  • Managing Director, Institutional Sales

    2 weeks ago

    Malvern, United States Pacer ETFs Full time

    Pacer Advisors, Inc.Managing Director -Institutional Sales  Pacer ETFs has experienced significant growth since starting as an ETF issuer 9 years ago and now has over $40 billion in AUM. Pacer has developed relationships with every broker dealer platform and their advisor network. We are now seeing demand for our solutions from other business areas such...

  • Managing Director, Institutional Sales

    1 week ago

    Malvern, United States Pacer ETFs Full time

    Pacer Advisors, Inc.Managing Director -Institutional Sales  Pacer ETFs has experienced significant growth since starting as an ETF issuer 9 years ago and now has over $40 billion in AUM. Pacer has developed relationships with every broker dealer platform and their advisor network. We are now seeing demand for our solutions from other business areas such...

  • Director of Nursing

    3 weeks ago

    Malvern, United States SageLife Full time

    Daylesford Crossing, 1450 Lancaster Ave, Paoli, Pennsylvania, United States of America ● Paoli, PA, USA Req #263 Thursday, May 23, 2024 Imagine a career that lets you enliven a senior’s life every day — just by walking into a room, offering a helping hand or lending an ear to hear a good tale. Sound like you? Then welcome to SageLife. Here, we believe...

  • Marketing Director

    1 week ago

    Malvern, United States PQ Full time

    Company DescriptionPQ is a leading global provider of silicates, silicas and derivative products. PQ's products are used in a wide variety of industrial processes and many customer products, from decorative paints to green cement, from clean drinking water to green tires and from toothpaste to biofuels and beer.Ideal candidates resonate with PQ's Core Values...

  • Catering Sales Coordinator

    2 days ago

    Malvern, United States White Manor Country Club Full time

    **Job details** **Salary**:$40,000 - $55,000 a year **Job Type**:Full-time. Concert Golf Partners is currently searching for a **_Catering Sales Coordinator_** at **_White Manor Country Club_**, as we continue our growth as one of the industry’s leading owner-operators of premier Country Clubs. Our need is for creative, high-energy professionals to...

  • Associate Director Clinical QA

    4 weeks ago

    Malvern, United States Ocugen, Inc. Full time

    The Associate Director, Clinical Quality Assurance is responsible for vendor quality and compliance risk for vendors participating in GCP, GLP, GPvP, and CSV regulated environments across product modalities. Developing, maintaining, and disseminating vendor data and analytics, including performance indicators, quality metrics, and a vendor risk scorecard....

  • Marketing Director

    3 weeks ago

    Malvern, United States PQ Full time

    Job DescriptionPOSITION OVERVIEWThe Marketing Director is responsible for strategic marketing and product line management for the silicas, silicates and zeolites product portfolio. A key member of the management team, this position leads all marketing efforts and projects to drive profitable growth of the business. Strategic marketing: Identify, develop,...

  • Associate Director Clinical QA

    4 weeks ago

    Malvern, Arkansas, United States Ocugen, Inc. Full time

    The Associate Director, Clinical Quality Assurance is responsible for vendor quality and compliance risk for vendors participating in GCP, GLP, GPvP, and CSV regulated environments across product modalities. Developing, maintaining, and disseminating vendor data and analytics, including performance indicators, quality metrics, and a vendor risk scorecard....

  • Director of Quality Assurance

    1 month ago

    Malvern, United States AIMS International USA (AIMS-US) Full time

    OverviewThe Director of Quality is primarily responsible for overseeing the execution of the Quality Management System. This includes oversight of all quality assurance and all quality control functions. Ensuring compliance with cGMPs, policies, procedures and standards that are required to support manufacturing of active pharmaceutical ingredients and...