As the Head of Enterprise Compliance, this individual will provide strategic leadership and direction on non-product specific compliance risks that can impact Vanguard. Examples of the topical domains included under the remit of this role are Fiduciary Risk, Human Resources, IT, Finance, Data, and Vanguard's exemptive relief. Successful applicants will have deep subject matter experience in at least one of the topical domains, experience with asset management compliance, a history of successful team leadership and talent development, and a strong track record of building effective relationships with business partners to drive robust compliance risk management. This is a new role, as such, the successful candidate will need to build a vision for the team and compliance approach. Successful candidates will demonstrate comfort and energy when working with ambiguity and have experience in compliance program design. This role reports to the Vanguard Chief Compliance Officer and is a member of the Compliance Leadership Team.
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Core Responsibilities:
- Engage with and educate business partners on regulations impacting Vanguard; ensure regulatory requirements are understood and controls and operating environments are designed to meet regulations and industry standards.
- Assist with the design and management of Compliance governance forums and serve as a guide to business partners and corporate functions in navigating enterprise regulatory matters.
- Participate in governance activities, provide compliance guidance on compliance issues, corporate programs, and operations.
- Build out aspects of the Compliance Oversight program, including the regulatory inventory, risk assessment, and management reporting, across domains.
- Hire, evaluate, and supervise crew. Provide guidance and training to develop crew, set performance standards, review performance, and make informed compensation decisions in accordance with all applicable Human Resources policies and procedures.
- Oversee and manage a centralized regulatory response program, coordinate regulatory examinations, support exam requests and inquiries, and ensure regulatory compliance.
- Lead the development of compliance policies and procedures and partner with business leaders to oversee the implementation of compliance standards and practices.
- Drive the identification and development of corrective action plans to resolve problematic compliance issues. Develop strategies and practices to reduce potential for violations and noncompliance.
- Maintain an expert knowledge and awareness of the investment industry. Stay abreast of current market, regulatory and industry relevant news. Serve as an expert and key resource related to compliance issues.
- Participate in special projects and performs other duties as assigned.
Qualifications:
- Previous experience in designing and leading enterprise compliance teams.
- Minimum of 12 years related work experience ; s upervisory experience required .
- 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.
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.