Compliance Director, Sales & Client Engagement Compliance

Vanguard • Malvern, PA

9d • Hybrid

About The Position

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

• Develop, implement, and maintain an effective compliance program for brokerage business activities, services, and products.
• Partner with business leaders and stakeholders to provide advice and ensure compliance with regulatory requirements.
• Lead regulatory visits, exams, inquiries, and complex investigations within the business.
• Maintain and revise compliance program policies and procedures; design, implement, and maintain new compliance standards.
• Identify and implement corrective action plans to resolve complex, problematic issues.
• Evaluate and communicate the operational efficiency and effectiveness of compliance programs, setting measurable standards and leveraging internal and external resources accordingly.
• Serve as an expert and key resource on compliance programs and regulatory matters relevant to business operations.
• Participate in special projects and perform other duties as assigned.

What This Job Offers

• Job Type: Full-time
• Career Level: Director