Director of Compliance & Regulatory Oversight

The Vanguard Group; Charlotte (NC); Hybrid; USD 150,000 - 210,000; Full time

Benefits offered by this job

Hybrid work model

Job summary

The Vanguard Group in Charlotte, NC is seeking a senior Compliance leader to develop and maintain an effective compliance program for advice business activities, services and products, partnering with business leaders to ensure regulatory requirements are met.

The role leads regulatory visits, exams, inquiries, and complex investigations, identifies corrective actions, and serves as an expert on regulatory matters, with a hybrid work arrangement.

Qualifications

• Minimum of eight years related work experience.
• Supervisory experience preferred.
• Regulatory license/registration required (e.g. FINRA). Series 7, 63, and 24 expected for this role.

Responsibilities

• Develops, implements and maintains an effective compliance program for advice business activities, services and products. Partners with business leaders to ensure regulatory compliance.
• 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 with measurable standards.
• Serves as an expert and key resource related to compliance programs and regulatory matters.
• Participates in special projects and performs other duties as assigned.

Education

Undergraduate degree

Job description

The Vanguard Group in Charlotte, NC is seeking a senior Compliance leader to develop and maintain an effective compliance program for advice business activities, services and products, partnering with business leaders to ensure regulatory requirements are met.

The role leads regulatory visits, exams, inquiries, and complex investigations, identifies corrective actions, and serves as an expert on regulatory matters, with a hybrid work arrangement.