Compliance Manager, Head of Workplace & Advisor Solutions Monitoring & Testing

The Compliance Manager leads a team of crew members who examine business processes, products, and services to ensure compliance with Vanguard’s regulatory obligations. The ideal candidate will have experience and interest in the compliance, risk, audit, or control domains. Leadership experience, project management experience, strong communication skills, a passion for learning, and experience with applicable business areas are a plus.

Every day will look a little different in this role; one day may be spent reading through regulations and rules to support your team’s inspections, other days may be focused on meeting and building relationships with business partners, and still others will center on reviewing and approving your team’s work. 

As a member of the Compliance Monitoring & Testing Leadership team, the Compliance Manager will partner with the team to guide the Compliance Monitoring & Testing Program, report on program status, and strategically plan monitoring, testing, and inspection activities along with program enhancements.

This role is an exciting opportunity to utilize your knowledge and skillsets to help Vanguard ensure we abide by our regulatory obligations, and in turn, protect our clients. We hope you find this role exciting and if your experiences and interests line up, we hope you choose to apply!

Note: This position will interface largely with our Workplace & Advisor Solutions division but will support monitoring, testing, and inspections across the enterprise. The role requires the Series 7 and Series 24 licenses.

Core Responsibilities

• 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.
• Oversees and leads the team in routine monitoring, testing, and inspections, including investigations of alleged noncompliance with applicable laws, regulations and corporate policies. Serves as an advisor to the business, and interfaces regularly with business area stakeholders and internal risk and compliance partners.
• Prepares written reports and provides recommendations for improvement. Provides guidance to mitigate compliance risks and control gaps.
• Identifies and gains agreement on corrective action plans for resolution of Compliance Issues. Recommends practices to reduce potential for violations and noncompliance.
• Manages operational efficiency. Sets measurable goals leveraging internal and external resources accordingly. Reports on the results.
• Follows approved investigation procedures and reports on corrective actions.
• Maintains a deep knowledge and awareness of Vanguard, the regulatory environment, and 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.
• Participates in special projects and performs other duties as assigned.

Qualifications

• Minimum of five years related work experience. Supervisory experience preferred.

• Undergraduate degree or equivalent combination of training and experience.

• This job requires a regulatory licenses Series 7 and 24

Special Factors

Sponsorship

About Vanguard

At Vanguard, we don't just have a mission—we're on a mission.

To work for the long-term financial wellbeing of our clients. To lead through product and services that transform our clients' lives. To learn and develop our skills as individuals and as a team. From Malvern to Melbourne, our mission drives us forward and inspires us to be our best.

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.