Advice Supervision Director

Vanguard • Malvern, PA

1d • Hybrid

About The Position

At Vanguard, we don't just have a mission—we're on a mission. To work for the long-term financial wellbeing of our clients. To lead through product and services that transform our clients' lives. To learn and develop our skills as individuals and as a team. From Malvern to Melbourne, our mission drives us forward and inspires us to be our best. Vanguard has implemented a hybrid working model for the majority of our crew members, designed to capture the benefits of enhanced flexibility while enabling in-person learning, collaboration, and connection. We believe our mission-driven and highly collaborative culture is a critical enabler to support long-term client outcomes and enrich the employee experience.

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). These will be determined by Compliance based on role-specific duties.
• 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.

What This Job Offers

• Job Type: Full-time
• Career Level: Director
• Education Level: Associate degree