Director, Compliance Methodology

The Vanguard Group • Charlotte, NC

409d • Hybrid

About The Position

The Director, Compliance Methodology at Vanguard is a senior leadership role responsible for overseeing the development, implementation, and maintenance of compliance processes and program activities. This position leads a team that conducts complex compliance inspections and serves as a trusted advisor to the business, ensuring adherence to regulatory requirements and ethical standards. The Director plays a crucial role in shaping the compliance risk management framework and enhancing firmwide risk management activities.

Requirements

• Minimum of eight years related work experience.
• Supervisory experience preferred.
• Experience in Compliance/Risk methodology.
• Undergraduate degree or equivalent combination of training and experience.
• Regulatory license and/or registration (e.g. FINRA, state, SFC) required based on role-specific duties.

Responsibilities

• Hires, evaluates, and supervises crew members.
• Provides guidance and training to develop crew capabilities.
• Sets performance standards, reviews performance, and makes informed compensation decisions.
• Provides leadership and oversight over routine monitoring and inspections, including investigations of alleged violations.
• Partners with business leaders to ensure compliance with regulatory requirements.
• Manages regulatory visits and complex investigations.
• Oversees the preparation of written inspection and assessment reports with recommendations for improvement.
• Implements compliance controls to close identified gaps.
• Maintains and revises policies and procedures for the compliance program.
• Designs, implements, executes, and maintains new compliance standards.
• Identifies and implements corrective action plans for complex issues.
• Recommends practices to reduce potential violations and noncompliance.
• Manages and evaluates operational efficiency and sets measurable goals.
• Reports on compliance and ethics initiatives results.
• Provides strategic compliance support for business initiatives and new product launches.
• Follows approved investigation procedures and reports on corrective actions.
• Maintains expert knowledge of the investment industry and stays updated on relevant news.
• Acts as a liaison to regulatory agencies and participates in special projects.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Industry: Securities, Commodity Contracts, and Other Financial Investments and Related Activities
• Education Level: Bachelor's degree