Senior Compliance Director - Sales & Client Engagement

Archer; Charlotte (NC); Hybrid; USD 150,000 - 230,000; Full time

Benefits offered by this job

Hybrid work model

Job summary

Archer, in collaboration with Vanguard, seeks a Compliance Director, Sales & Client Engagement to provide strategic compliance guidance across Vanguard's Financial Advisor Services and Workplace businesses.

The role focuses on connecting sales practices, supervision, and regulatory risk management, serving as a trusted advisor to business leaders and translating regulatory expectations into practical solutions.

Qualifications

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

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.

Skills

Regulatory risk management

Regulatory compliance

Strategic guidance

Stakeholder collaboration

Education

Undergraduate degree

Job description

Archer, in collaboration with Vanguard, seeks a Compliance Director, Sales & Client Engagement to provide strategic compliance guidance across Vanguard's Financial Advisor Services and Workplace businesses.

The role focuses on connecting sales practices, supervision, and regulatory risk management, serving as a trusted advisor to business leaders and translating regulatory expectations into practical solutions.