Advice Supervision Director

Vanguard; Charlotte (NC); Hybrid; USD 120,000 - 180,000; Full time

Job summary

Vanguard is seeking an experienced compliance leader to develop, implement, and maintain an effective compliance program for advice business activities, services and products. You will partner with business leaders to ensure adherence to regulatory requirements and support regulatory visits and complex investigations.

The role requires a minimum of eight years of related experience, supervisory exposure, and an undergraduate degree or equivalent.

Qualifications

• Eight years related work experience, supervisory experience preferred.
• Undergraduate degree or equivalent combination of training and experience.
• Regulatory license(s) required: Series 7, Series 63, Series 24.

Responsibilities

• Develops, implements and maintains an effective compliance program for advice business activities, services and products. Partners with business leaders and stakeholders to provide advice and ensure compliance with regulatory requirements.
• Leads support of regulatory visits, exams, inquiries and complex investigations within the business.
• Identifies and implements corrective action plans for resolution of complex, problematic issues.
• Evaluates and communicates operational efficiency and effectiveness of compliance programs. Sets measurable standards leveraging internal and external resources accordingly.
• Serves as an expert and key resource related to compliance programs and regulatory matters relevant to business operations.
• Participates in special projects and performs other duties as assigned.

Education

Bachelor's degree or equivalent

Job description

Core Responsibilities

1. Develops, implements and maintains an effective compliance program for advice business activities, services and products. Partners with business leaders and stakeholders to provide advice and ensure compliance with regulatory requirements.

2. Leads support of regulatory visits, exams, inquiries and complex investigations within the business.

3. Identifies and implements corrective action plans for resolution of complex, problematic issues.

4. Evaluates and communicates operational efficiency and effectiveness of compliance programs. Sets measurable standards leveraging internal and external resources accordingly.

5. Serves as an expert and key resource related to compliance programs and regulatory matters relevant to business operations.

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

Qualifications

• Minimum of eight years related work experience. Supervisory experience preferred.
• 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. For this role it has been determined the Series 7, Series 63, and Series 24 will be required.

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.

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.