Senior Compliance Advisor

Vanguard Group Inc

Location: Charlotte, NC, Scottsdale, AZ, or Malvern, PA

Work model: Hybrid

Job requisition: 164530

Overview:

Supports the development, implementation, and maintenance of compliance processes, as well as compliance monitoring functions related to business activities and investment products. Serves as a trusted advisor to the business, provides guidance and oversight of regulated activities. Position primarily supports a non-discretionary advisory service for UHNW retail investors ($5 million and above) and corporate trustee services to retail investors ($1 million and above).

Responsibilities:

• Serves as an experienced advisor to the business, and interfaces regularly with business unit stakeholders and internal risk and compliance partners.

• Manages regulatory relationship and full scope examinations of the advisory entity by the Office of the Comptroller of the Currency (OCC).

• Develops and maintains effective working relationships with key business leaders across Vanguard and OCC regulatory agency representatives.

• Manages regulatory visits, exams, inquiries, and investigations within the business. Provides guidance to mitigate compliance risks and control gaps.

• Oversees the design, implementation, execution, and maintenance of compliance policies and procedures. Supports the development of new compliance standards and supports the advisory and trust services compliance program.

• Identifies and implements corrective action plans for resolution of problematic issues.

• Manages operational efficiency. Sets measurable standards leveraging internal and external resources accordingly.

• Serves as an expert on compliance related issues.

• Participates in special projects and performs other duties as assigned.

Qualifications:

• Minimum of five years related work experience, with at least two years within a financial services compliance function.

• Undergraduate degree or equivalent combination of training and experience.

Sponsorship: Vanguard is not offering visa sponsorship for this position.