Strategic Compliance Director - Sales & Client Engagement

Vanguard; Scottsdale (AZ); Hybrid; USD 150,000 - 210,000; Full time

Job summary

Vanguard is seeking a Compliance Director for Sales & Client Engagement to provide strategic compliance guidance across Vanguard’s Financial Advisor Services and Workplace businesses. The role focuses on aligning sales practices, supervision, and regulatory risk management to support responsible growth.

As a trusted advisor, you will shape supervisory standards, influence business decisions, and help translate regulatory expectations into practical solutions, across Brokerage, Advice and Wealth

Qualifications

• 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.

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.

Education

Undergraduate degree

Job description

Vanguard is seeking a Compliance Director for Sales & Client Engagement to provide strategic compliance guidance across Vanguard’s Financial Advisor Services and Workplace businesses. The role focuses on aligning sales practices, supervision, and regulatory risk management to support responsible growth.

As a trusted advisor, you will shape supervisory standards, influence business decisions, and help translate regulatory expectations into practical solutions, across Brokerage, Advice and Wealth