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 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!
This position will interface largely with our Workplace & Advisor Solutions division but will support monitoring, testing, and inspections across the enterprise.
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.
Special Factors
Sponsorship
Vanguard is not offering visa sponsorship for this position.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.
Skills Required
- Minimum of five years related work experience
- Undergraduate degree or equivalent training and experience
- Supervisory experience
Vanguard Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about Vanguard and has not been reviewed or approved by Vanguard.
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Retirement Support — Retirement support appears unusually strong through a 401(k) design that includes a match plus an additional employer contribution, which can materially lift long-term total rewards. HSA seeding and an enhanced employer match further strengthen the savings-and-benefits value of the package.
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Wellbeing & Lifestyle Benefits — Wellbeing and lifestyle support is reinforced by a sizable annual FlexFund stipend that can be applied across many day-to-day categories such as fitness, childcare, and other personal expenses. On-site or virtual clinics and fitness options add practical health and wellness convenience.
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Affordable Benefits — Healthcare and related benefits are positioned as comparatively affordable via heavily subsidized medical plans and broad coverage options. This affordability can offset moderate base pay for employees who place higher value on out-of-pocket cost reductions.
Vanguard Insights
What We Do
We are a community of 30 million who think – and feel – differently about investing. Together, we’re changing the way the world invests. Since our founding in 1975, helping our investors achieve their goals is our sole reason for existence. With no other parties to answer to and therefore no conflicting loyalties, we make every decision—like keeping investing costs as low as possible—with only your needs in mind. Vanguard is one of the world's largest investment companies, offering a large selection of high-quality low-cost mutual funds, ETFs, advice, and related services. Individual and institutional investors, financial professionals, and plan sponsors can benefit from the size, stability, and experience Vanguard offers. As of April 30, 2019, we managed more than $5.6 trillion in global assets. In addition, we have 189 funds in the United States and 225 funds in global markets. For Commenting Guidelines & Important information, visit here: http://vanguard.com/linkedin Vanguard Marketing Corporation, Distributor.
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