Senior Compliance Director, Sales & Client Engagement

Vanguard; Malvern (Chester County); Ibrido; USD 180.000 - 240.000; Tempo pieno

Descrizione del lavoro

Vanguard in Malvern, PA is seeking a Compliance Director, Sales & Client Engagement to guide regulatory risk across Brokerage, Advice and Wealth Management. You will partner with business leaders, shape the supervisory framework, translate complex rules into practical solutions, and serve as a trusted advisor on regulatory matters relevant to core operations.

This role requires strategic thinking, strong governance, and hands-on leadership to support responsible growth.

Competenze

• 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.

Mansioni

• 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.

Conoscenze

Series 7 license

Series 64 license

Regulatory risk management

Stakeholder management

Policy development

Regulatory exams

Formazione

Undergraduate degree

Descrizione del lavoro

Vanguard in Malvern, PA is seeking a Compliance Director, Sales & Client Engagement to guide regulatory risk across Brokerage, Advice and Wealth Management. You will partner with business leaders, shape the supervisory framework, translate complex rules into practical solutions, and serve as a trusted advisor on regulatory matters relevant to core operations.

This role requires strategic thinking, strong governance, and hands-on leadership to support responsible growth.