Advice Supervision Director
About The Position
Vanguard is on a mission to work for the long-term financial wellbeing of its clients and to lead through products and services that transform clients' lives. This role is part of a hybrid working model designed to capture the benefits of enhanced flexibility while enabling in-person learning, collaboration, and connection. The Advice Supervision Director will develop, implement, and maintain an effective compliance program for advice business activities, services, and products, partnering with business leaders and stakeholders to ensure compliance with regulatory requirements. This role will also lead support for regulatory visits, exams, inquiries, and complex investigations, identify and implement corrective action plans, and evaluate and communicate the operational efficiency and effectiveness of compliance programs. The Director will serve as an expert and key resource related to compliance programs and regulatory matters relevant to business operations, and participate in special projects.
Requirements
- Minimum of eight years related work experience.
- Undergraduate degree or equivalent combination of training and experience.
- This job requires a regulatory license and/or registration (e.g. FINRA, state, SFC).
- For this role it has been determined the Series 7, Series 63, and Series 24 will be required.
Nice To Haves
- Supervisory experience preferred.
Responsibilities
- Develops, implements and maintains an effective compliance program for advice business activities, services and products.
- Partners with business leaders and stakeholders to provide advice and ensure compliance with regulatory requirements.
- 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 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.
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What This Job Offers
Job Type
Full-time
Career Level
Director
Education Level
Associate degree
