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 regulated business lines, Vanguard’s Compliance Department encounters a wide range of complex and compelling issues while providing exceptional, high-value business partnership and compliance support.
As a trusted leader, the Compliance Director, Regulatory Exam Response will provide direction to a dynamic team of compliance professionals focused on carrying forward the tone for regulator engagement and exam and inquiries response on behalf of Vanguard Marketing Corporation, an affiliated self-clearing broker dealer and distributor of Vanguard products. The Regulatory Exam Response team is our first line for regular engagement with regulators and is charged with coordinating and managing examinations and other regulatory reviews. As a critical member of the Distribution & Brokerage Compliance team, this leader along with direct reports, will serve as a trusted advisor to Firm stakeholders by providing guidance on expectations required of them for written exam requests and in person/virtual discussions with regulators.
As a member of the Compliance team, you, directly or through your team, will:
Principal Responsibilities:
What it Takes:
Qualifications:
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.
Read Full Description