• Provides leadership and oversight over a team conducting routine monitoring and inspections, including investigations of alleged violations of Vanguard's ethical standards and noncompliance with applicable laws, regulations and corporate policy issues. Partners with business leaders and stakeholders to provide advice and ensure compliance with regulatory requirements.
• Manages regulatory visits and complex investigations. Oversees the preparation of written inspection and assessment reports and provides recommendations for improvement. Oversees the implementation of compliance controls to ensure gaps are closed.
• Responsible for maintaining and revising policies and procedures for the general operation of the compliance program and its related activities. Oversees the design, implementation, execution, and maintenance of new compliance standards.
• Identifies and implements corrective action plans for resolution of complex, problematic issues. Recommends practices to reduce potential for violations and noncompliance.
• Manages and evaluates operational efficiency. Sets measurable goals leveraging internal and external resources accordingly. Reports on the results of compliance and ethics initiatives of the business.
• Provides strategic compliance support for business initiatives and new product launches.
• Follows approved investigation procedures and reports on corrective actions.
• Maintains an expert knowledge and awareness of the investment industry. Stays abreast of current market, regulatory and industry relevant news. Serves as an expert and key resource related to compliance issues. Utilizes expertise to provide guidance and leadership on complex compliance related issues. Acts as a liaison to regulatory agencies.
• Participates in special projects and performs other duties as assigned.

Qualifications:

• Minimum of eight years related work experience. Supervisory experience preferred. Methodology exp. within Compliance/Risk.
• 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.

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.

Our commitment to diversity, equity, and inclusion

Vanguard's commitment to diversity, equity, and inclusion (DEI) is central to our ability to deliver on our mission. We aspire to create a work environment that is inclusive, equitable, and diverse-one that enables our employees, whom we call crew, to thrive and bring their best selves to work every day on behalf of our clients.

Cultivating DEI lifts our entire organization, and everyone shares accountability for our progress-from our senior leaders who lay the foundation and set the example for inclusive behaviors to crew who are growing in their personal DEI learning experiences.

Together, we're on a mission. We are fueled by the value of diverse voices and connected through friendships and a culture of care-for our clients, our communities, and each other.

Vanguard's DEI journey has no finish line. Our commitment is enduring, and we remain focused on the path ahead. To learn more about Vanguard goals and progress toward DEI, download our Diversity, Equity, and Inclusion Report .

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.