Compliance Director, Sales & Client Engagement

Vanguard; Scottsdale (AZ); Hybrid; USD 150.000 - 210.000; Vollzeit

Zusammenfassung

Vanguard is seeking a Compliance Director for Sales & Client Engagement to provide strategic compliance guidance across Vanguard’s Financial Advisor Services and Workplace businesses. The role focuses on aligning sales practices, supervision, and regulatory risk management to support responsible growth.

As a trusted advisor, you will shape supervisory standards, influence business decisions, and help translate regulatory expectations into practical solutions, across Brokerage, Advice and Wealth

Qualifikationen

• Minimum of eight years related work experience.
• Undergraduate degree or equivalent combination of training and experience.
• Licensing: Series 7 and Series 64 licenses required or the ability to obtain.

Aufgaben

• Develops, implements and maintains an effective compliance program for brokerage business activities, services and products.
• Partners with business leaders and stakeholders to provide advice and ensure compliance with regulatory requirements.
• Leads regulatory visits, exams, inquiries and complex investigations within the business.
• Maintains and revises compliance program policies and procedures. Designs, implements, and maintains new compliance standards.
• 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.

Ausbildung

Undergraduate degree

Jobbeschreibung

Are you a strategic thinker who enjoys solving complex problems, influencing business decisions, and helping teams navigate an evolving regulatory environment? We are seeking a Compliance Director, Sales & Client Engagement to provide strategic compliance guidance across Vanguard’s Financial Advisor Services (FAS) and Workplace businesses.

This is an exciting opportunity to work at the intersection of sales practices, supervision, and regulatory risk management. The successful candidate will serve as a trusted advisor to business leaders, provide thoughtful challenge and practical guidance, and help translate regulatory expectations into solutions that enable responsible business growth. The role will also contribute to the continued evolution of Vanguard’s supervisory framework and support key strategic initiatives across two important businesses.

If you enjoy connecting the dots across complex issues and want the opportunity to shape regulatory risk management practices as a member of Brokerage, Advice and Wealth Management (BAWM) Compliance. This role offers a unique opportunity to make an impact.

Responsibilities

• Develops, implements and maintains an effective compliance program for brokerage business activities, services and products.
• Partners with business leaders and stakeholders to provide advice and ensure compliance with regulatory requirements.
• Leads regulatory visits, exams, inquiries and complex investigations within the business.
• Maintains and revises compliance program policies and procedures. Designs, implements, and maintains new compliance standards.
• 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.

Qualifications

• Minimum of eight years related work experience.
• Undergraduate degree or equivalent combination of training and experience.
• Licensing: Series 7 and Series 64 licenses required or the ability to obtain.

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.