Advice Compliance & Risk Director (Hybrid)

Vanguard; Malvern (Chester County); Hybrid; USD 180,000 - 240,000; Full time

Benefits offered by this job

Hybrid work model

Job summary

Vanguard is seeking an Advice Supervision Director in Malvern to lead risk and compliance supervision for the Advice business and embed a culture of supervision regionally. The role partners with leaders to ensure regulatory requirements are met while guiding complex investigations and corrective actions.

The position requires eight years of related experience, supervisory skills, and regulatory licenses (Series 7/63/24) as determined by Compliance.

Qualifications

• Minimum of eight years related work experience.
• Supervisory experience preferred.
• Regulatory license/registration (Series 7, 63, 24) required as determined by Compliance.

Responsibilities

• Develops, implements and maintains an effective compliance program for advice business activities.
• Leads support of regulatory visits, exams, inquiries and complex investigations.
• Identifies and implements corrective action plans for complex issues.
• Evaluates and communicates operational efficiency and effectiveness of compliance programs.
• Serves as an expert resource on compliance programs and regulatory matters.
• Participates in special projects and other duties as assigned.

Skills

Risk management

Compliance program development

Regulatory affairs

Leadership / supervisory

Regulatory licensing (Series 7, 63, 24

Education

Undergraduate degree

Undergraduate degree or equivalent

Job description

Vanguard is seeking an Advice Supervision Director in Malvern to lead risk and compliance supervision for the Advice business and embed a culture of supervision regionally. The role partners with leaders to ensure regulatory requirements are met while guiding complex investigations and corrective actions.

The position requires eight years of related experience, supervisory skills, and regulatory licenses (Series 7/63/24) as determined by Compliance.