Compliance Director, Sales & Client Engagement

The Vanguard Group•Charlotte, PA

7d•Hybrid

About The Position

The Compliance Director, Sales & Client Engagement provides strategic compliance guidance across Vanguard’s Financial Advisor Services (FAS) and Workplace businesses. The role works at the intersection of sales practices, supervision, and regulatory risk management, serving as a trusted advisor to business leaders and providing practical guidance and thoughtful challenge. It translates regulatory expectations into solutions that support responsible business growth, contributes to the evolution of the supervisory framework, and supports strategic initiatives across the two businesses as part of Brokerage, Advice and Wealth Management (BAWM) Compliance.

Requirements

Minimum of eight years of related work experience.
Undergraduate degree or equivalent combination of training and experience.
Series 7 and Series 64 licenses required, or ability to obtain them.

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 to resolve complex, problematic issues.
Evaluates and communicates the operational efficiency and effectiveness of compliance programs.
Sets measurable standards, leveraging internal and external resources as appropriate.
Serves as an expert and key resource on compliance programs and regulatory matters relevant to business operations.
Participates in special projects and performs other duties as assigned.