Core Responsibilities

1. Develops, implements and maintains an effective compliance program for advice business activities, services and products.  Partners with business leaders and stakeholders to provide advice and ensure compliance with regulatory requirements.

2. Leads support of regulatory visits, exams, inquiries and complex investigations within the business. 

3. Identifies and implements corrective action plans for resolution of complex, problematic issues. 

4. Evaluates and communicates operational efficiency and effectiveness of compliance programs. Sets measurable standards leveraging internal and external resources accordingly.

5. Serves as an expert and key resource related to compliance programs and regulatory matters relevant to business operations. 

6.  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. For this role it has been determined the Series 7, Series 63, and Series 24 will be required.

Special Factors

Sponsorship

Vanguard is not offering visa sponsorship for this position.