Risk & Compliance Oversight Director

Vanguard; Dallas (TX); Hybrid; USD 180,000 - 260,000; Full time

Benefits offered by this job

Hybrid work model

Job summary

Vanguard is seeking an Advice Supervision Director to apply deep expertise in risk and regulatory compliance to support supervision of the Advice business activities, services and products.

The role partners with leaders to ensure regulatory requirements are met, manages regulatory visits and investigations, and drives corrective action on complex issues, embedding a culture of strong supervision across the region.

Qualifications

• Minimum of eight years related work experience.
• Undergraduate degree or equivalent combination of training and experience.
• Regulatory license and/or registration (e.g. FINRA, state, SFC) – Series 7, 63, and 24 will be required.

Responsibilities

• Develops, implements and maintains an effective compliance program for advice business activities, services and products.
• 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.
• Serves as an expert and key resource related to compliance programs and regulatory matters.

Skills

Regulatory compliance

Risk management

Supervisory experience

Regulatory licensing

Stakeholder collaboration

Education

Bachelor's degree or equivalent

Job description

Vanguard is seeking an Advice Supervision Director to apply deep expertise in risk and regulatory compliance to support supervision of the Advice business activities, services and products.

The role partners with leaders to ensure regulatory requirements are met, manages regulatory visits and investigations, and drives corrective action on complex issues, embedding a culture of strong supervision across the region.