Compliance Manager, Head of Fund

3 weeks ago

Scottsdale, United States The Vanguard Group Full time

Leads a team responsible to perform compliance testing and monitoring inspections. Supports the development, implementation, and maintenance of compliance processes within the testing and monitoring compliance functions. Forms strong partnership with Compliance and Risk partners. Serves as a trusted advisor to the business and provides oversight of regulated activities.Does this role pique your interest? If so, the ideal candidate will have strong investment management and investment advisor business acumen, a background in testing, and a desire to lead and develop crew. In this role, you will lead a specialized team of crew (S1 and S2) who plan, test, and report on compliance inspections for the Fund and Advisor related business units. This is a great opportunity to grow your risk mindset, leverage your business acumen, and develop crew. You will closely partner with your crew on their projects and lean heavily into the player/coach leadership model. As a leader on the monitoring and testing team there is an opportunity to grow your network and further your business and compliance acumen. You will have four peers to collaborate with and influence the strategic direction of the testing and monitoring team.The Compliance Manager, Head of Fund & Advisor Inspections: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. Fosters a collaborative team environment building a strong culture of ownership, achievement, quality, and accountability.Establishes the annual plan, oversee and lead the team in routine testing, monitoring and inspections, including investigations of alleged violations of Vanguard's ethical standards and noncompliance with applicable laws, and regulations.Forms a strong relationship with Compliance Advisory partners to collectively serve to provide oversight and advice to the business. Routinely communicate with business stakeholders, internal risk, and compliance partners and leaders.Manages regulatory visits and inspections. Reviews, and prepares as needed, written inspection and assessment reports and provides recommendations for improvement. Provides guidance to mitigate compliance risks and control gaps.Oversees the design, implementation, execution, and maintenance of compliance policies and procedures. Supports the development of new compliance standards.Recommends and communicates corrective action plans to resolve problematic issues identified during testing activities. Recommends practices to strengthen control environment and reduce potential for violations and noncompliance.Manages operational efficiency. Sets measurable goals leveraging internal and external resources accordingly. Reports on the results of compliance and ethics initiatives of the business.Follows approved investigation procedures and reports on corrective actions.Maintains a deep knowledge and awareness of the investment industry. Stays abreast of current market, regulatory, and industry relevant news. Serves as an expert and provides guidance to team on compliance-related issues. Acts as a liaison to regulatory agencies.Participates in special projects and performs other duties as assigned.What it takes:Minimum of five years related work experience, with at least two years within a financial services compliance function. Regulatory, compliance, investment, or auditing experience preferred. Supervisory experience preferred.Working knowledge of the securities industry, along with the Investment Company Act of 1940 and the Investment Advisers Act of 1940 preferred.Undergraduate degree or equivalent combination of training and experience.Excellent verbal and written communication skillsSpecial FactorsSponsorshipVanguard is not offering visa sponsorship for this position. About VanguardWe are Vanguard. Together, were changing the way the world invests.For us, investing doesnt 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 thats how weve 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. Lets make it count.Inclusion StatementVanguards 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 Vanguards 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 WorkVanguard 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.#J-18808-Ljbffr

by Jobble

  • Lifeguard Head

    1 month ago

    Scottsdale, United States City Of Scottsdale Full time

    About The Position : Head Lifeguards assist Assistant Pool Managers to operate and manage our City swimming pool facilities, and supervise staff to maximize safety, customer service, and community involvement through aquatic programs and activities. Head Lifeguards work various hours, typically ranging from 5:00 a.m. to 9:30 p.m., and must work any day...

  • Compliance Officer

    1 week ago

    Scottsdale, United States JW Michaels & Co. Full time

    Our client is a growing SEC registered investment adviser providing leading investment solutions to institutional, professional investment advisors and retail clients across a variety of vehicles including RIC mutual funds and ETFs, separately managed accounts, and more.The Compliance Associate will learn quickly about the Firm, the compliance program...

  • Compliance Officer

    1 week ago

    Scottsdale, United States JW Michaels & Co. Full time

    Our client is a growing SEC registered investment adviser providing leading investment solutions to institutional, professional investment advisors and retail clients across a variety of vehicles including RIC mutual funds and ETFs, separately managed accounts, and more.The Compliance Associate will learn quickly about the Firm, the compliance program...

  • Compliance Officer

    4 days ago

    Scottsdale, United States JW Michaels & Co. Full time

    Our client is a growing SEC registered investment adviser providing leading investment solutions to institutional, professional investment advisors and retail clients across a variety of vehicles including RIC mutual funds and ETFs, separately managed accounts, and more.The Compliance Associate will learn quickly about the Firm, the compliance program...

  • Dental Assistant

    2 days ago

    Scottsdale, United States Head Pain Institute Full time $22 - $24

    Head Pain Institute - Job Description - Dental AssistantAbout Head Pain Institute:At Head Pain Institute, we don’t just treat symptoms, we diagnose and treat the cause of our patients’ discomfort to enable our patients to live their lives more comfortably. Our mission is to use state-of-the-art clinical treatments proven to alleviate pain over the long...

  • Head of School

    1 month ago

    Scottsdale, Arizona, United States Nishmat Adin - Shalhevet Scottsdale Full time

    School: Nishmat Adin – Shalhevet Scottsdale Nishmat Adin - Shalhevet Scottsdale, located in Scottsdale, AZ, is a private, co-ed, Jewish High School with a rigorous dual curriculum of Judaic and college preparatory studies. Nishmat Adin - Shalhevet Scottsdale opened for the year with a 9 th and 10 th grade and is rapidly looking to expand its faculty. To...

  • Technology Lending/ Structured Credit Senior Investment Professional

    2 weeks ago

    Scottsdale, United States Private Debt Fund Full time

    Job DescriptionJob DescriptionWe are looking for a mid to senior level investment professional to join our growing team to help originate new transaction opportunities, usually in the form of structured debt, to mid to late-stage technology companies.We typically invest $20MM-$150MM in businesses that focus on enterprise software, enterprise hardware, and...

  • Capital Markets Funding Analyst Scottsdale, AZ

    2 weeks ago

    Scottsdale, United States Kaizen Lab Inc. Full time

    Dunmor is a direct lender for residential and multifamily real estate investors. We specialize in senior debt financing with products such as bridge loans, value-add loans, new construction loans, and permanent portfolio loans for our borrowers nation-wide. As a FinTech commercial lender in rapid-growth mode , our differentiation strategy is employing...

  • District Trade Compliance Manager

    2 weeks ago

    Scottsdale, United States Expeditors Full time

    Company Description "We're not in the shipping business; we're in the information business" -Peter Rose, Expeditors Founder As a Fortune 500 company, Expeditors employs more than 15,000 trained professionalsin a worldwide network of over 300 locations across six continents. Expeditorssatisfies the increasingly sophisticated needs of international trade...

  • Compliance Specialist

    2 weeks ago

    Scottsdale, United States Bank 34 Full time

    Southwest Heritage Bank, formerly Bank 34 and Commerce Bank of Arizona, is committed to providing our employees with a competitive, comprehensive benefits program that provides the care you and your family need to lead healthy, productive lives. The position of the Compliance Specialist is for performing regulatory compliance duties under the direct...

  • District Trade Compliance Manager

    4 weeks ago

    Scottsdale, United States Expeditors Full time

    Job DescriptionJob DescriptionCompany Description "We're not in the shipping business; we're in the information business" -Peter Rose, Expeditors FounderAs a Fortune 500 company, Expeditors employs more than 15,000 trained professionalsin a worldwide network of over 300 locations across six continents. Expeditorssatisfies the increasingly...

  • Head of Operations

    2 weeks ago

    Scottsdale, United States Wise Pelican Full time

    About Us: At Wise Pelican, we are dedicated to achieving excellence in every facet of our operations. As a company implementing EOS, we harness the unique strengths of our team to drive forward our vision.Wise Pelican provides direct mail services, primarily to real estate agents, through our robust web application that allows end-users to build end-to-end...

  • Head of Operations

    4 days ago

    Scottsdale, United States Wise Pelican Full time

    About Us: At Wise Pelican, we are dedicated to achieving excellence in every facet of our operations. As a company implementing EOS, we harness the unique strengths of our team to drive forward our vision.Wise Pelican provides direct mail services, primarily to real estate agents, through our robust web application that allows end-users to build end-to-end...

  • Head of Operations

    2 weeks ago

    Scottsdale, United States Wise Pelican Full time

    About Us: At Wise Pelican, we are dedicated to achieving excellence in every facet of our operations. As a company implementing EOS, we harness the unique strengths of our team to drive forward our vision.Wise Pelican provides direct mail services, primarily to real estate agents, through our robust web application that allows end-users to build end-to-end...

  • Assistant Store Manager

    4 weeks ago

    Scottsdale, United States Goodwill of Central & Northern Arizona Full time

    8959 E Talking Stick Way Scottsdale Arizona, 85250, +1 (480) 3987643 Position Description**: Leads the daily operations of the sales floor at a Retail Store location for Goodwill of Central and Northern Arizona (GCNA) and its affiliated entities to help fund the Goodwill mission of ending unemployment. Assists with leading production room as appropriate....

  • Compliance Officer

    3 days ago

    Scottsdale, United States The Hope House Full time

    **About us** HOPE HOUSE is a small business in Scottsdale, AZ. We are professional, innovative, data-driven and our goal is to provide all tools for our clients to recover from the disease of substance use disorder. The Hope House was recently named a top 3 healthcare organization in the state of Arizona.. Our work environment includes: - Modern office...

  • Head of Enterprise Sales

    4 weeks ago

    Scottsdale, United States GitKraken Full time

    **The Company**: GitKraken makes a suite of legendary Git tools and services that help developers be more productive - and teams collaborate more closely - wherever they are and wherever they code. We are on a mission to make Git easier, safer, and more powerful across multiple surfaces and environments. Our Git tools are designed to enable developers to...

  • Business Office Manager Scottsdale Salary

    1 month ago

    Scottsdale, United States Haven of Scottsdale Full time

    The Business Office Manager works under the direction of the Executive Director and is responsible for the maintenance of financial records and the management of accounts receivables. This Business Office Manager interacts with third-party payers, Medicare, Medicaid along with all pertinent collections processes. The position oversees, safeguards and...

  • Head of Enterprise Sales

    3 weeks ago

    Scottsdale, United States GitKraken Full time

    Job DescriptionJob DescriptionSalary: The Company:GitKraken makes a suite of legendary Git tools and services that help developers be more productive – and teams collaborate more closely – wherever they are and wherever they code. We are on a mission to make Git easier, safer, and more powerful across multiple surfaces and environments. Our Git tools are...

  • Head of Engineering

    4 weeks ago

    Scottsdale, United States Sumitomo Mitsui Banking Corporation Full time

    Join us on our mission to create a completely new, 100% digital bank that truly serves customers' best interests. We are a close-knit and fun-loving team of seasoned financial services professionals who came together for the challenge of building a bank from scratch - and we are committed to doing it all the right way (from technology infrastructure to...