Advice Supervision Director

The Vanguard Group; Neptune (WI); Hybrid; USD 110,000 - 160,000; Full time

Job summary

Vanguard is seeking an experienced compliance leader to develop and maintain an effective program for advisory activities, services and products. You will partner with business leaders to ensure regulatory alignment and risk mitigation across the organization.

You will lead regulatory visits, exams and investigations, identify corrective actions for complex issues, and serve as a trusted expert on compliance matters. Hybrid work supports collaboration and ongoing learning.

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).
• Series 7, Series 63, and Series 24 will be required for this role.
• Special Factors Sponsorship Vanguard is not offering visa sponsorship for this position.

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.

Skills

Regulatory compliance

Leadership

Regulatory licensing

Education

Undergraduate degree

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. Vanguard, one of the world's leading investment management companies, serves individual investors, institutions, employer-sponsored retirement plans, and financial professionals. We have a diverse and talented crew with a culture that promotes teamwork, along with an unwavering focus on serving our clients' best interests.