Senior Compliance Advisor, Retail Regulatory Enablement

Senior Compliance Advisor

The Office of the General Counsel supports Vanguard investors by providing trusted advice and expertise, mitigating risks, and serving as strategic business partners dedicated to protecting Vanguard and our funds with integrity and excellence.

In this role, you will:

• Serve as a trusted advisor to business leaders, offering strategic guidance and oversight on regulated activities with a focus on critical business initiatives.
• Monitor and assess compliance risks, ensuring our operations align with regulatory expectations.
• Collaborate cross-functionally to foster a culture of integrity and accountability.

The Senior Compliance Advisor will:

• Maintain and cultivate a collaborative culture for efficiently and effectively managing regulatory risks, by fostering strong relationships between, and with, business leaders, the Legal Department, Compliance Department colleagues, global partners, and other control groups.
• Serve as a trusted advisor to Vanguard's retail advice, wealth management, and brokerage businesses. Work collaboratively with the businesses, including centralized supervision, to develop policies, procedures and controls designed to ensure compliance with applicable laws and regulations.
• Adopt and implement best practices to ensure optimal effectiveness of management and mitigation of regulatory and compliance risks, including driving collaboration and efficiencies between relevant compliance teams and partners throughout the enterprise.
• Lead, manage, and participate in compliance oversight efforts and projects within Vanguard's ecosystem to protect Vanguard's reputation and clients. Utilize risk management techniques and business area knowledge to develop, maintain and periodically test relevant policies and procedures.
• Develop, maintain and demonstrate expert understanding of all regulations that are applicable to Vanguard's brokerage, advice and wealth management businesses; monitor developments, proposed rule changes and amendments in applicable rules and regulations, assess the potential impact to Vanguard's operations, and coordinate implementation of rules that are adopted or finalized.

What it takes:

• A deep and varied understanding of financial markets, investment products, trading and brokerage operations.
• Broad knowledge of FINRA, SEC, state, banking and trust company regulations, including specific experience with Investment Advisers Act and Regulation Best Interest experience, as well as experience with ERISA/DOL retirement account servicing.
• Ability to work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment.
• Strong interpersonal skills, including the ability to communicate complex compliance topics in concise terms that non-experts can fully understand.
• A partnership-focused philosophy to accomplish objectives.
• A bias towards action and the ability to lead independently and drive outcomes across a diverse set of stakeholders with competing priorities.

Qualifications:

• Minimum of five years' related work experience. Supervisory experience preferred.
• Undergraduate degree or equivalent combination of training and experience
• FINRA Series 7 and 24 are required (must obtain within 6 months if not currently held).

Special Factors

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

About Vanguard

At Vanguard, we don't just have a missionwe'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.