Head of Advice Compliance & Regulatory Programs

The Vanguard Group; Dallas (TX); Hybrid; USD 150,000 - 230,000; Full time

Job summary

Vanguard Group in Dallas, TX seeks an experienced compliance leader to develop and maintain an effective program for advice activities and services. You will partner with business leaders to ensure regulatory compliance and lead responses to regulatory visits and investigations.

The role requires eight years of experience and Series 7, 63, and 24 licenses, with no visa sponsorship offered. Vanguard emphasizes a hybrid work model and collaboration across teams to support client outcomes.

Qualifications

• Eight years of related work experience (minimum).
• Regulatory license(s) and/or registrations required (Series 7, 63, and 24 for this role).
• Sponsorship not offered for visa at this position.

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 complex issues.
• Evaluates and communicates operational effectiveness of compliance programs and sets measurable standards.
• Serves as an expert resource on compliance programs and regulatory matters relevant to operations.
• Participates in special projects and other duties as assigned.

Skills

Regulatory compliance

Leadership

Regulatory exams

Policy development

Education

Bachelor's degree or equivalent

Tools

GRC software

Job description

Vanguard Group in Dallas, TX seeks an experienced compliance leader to develop and maintain an effective program for advice activities and services. You will partner with business leaders to ensure regulatory compliance and lead responses to regulatory visits and investigations.

The role requires eight years of experience and Series 7, 63, and 24 licenses, with no visa sponsorship offered. Vanguard emphasizes a hybrid work model and collaboration across teams to support client outcomes.