Compliance Manager, Head of Workplace & Advisor Solutions Monitoring & Testing

Vanguard•Malvern, PA

6d•Hybrid

About The Position

The Compliance Manager is responsible for leading a team that evaluates business processes, products, and services to ensure compliance with Vanguard's regulatory obligations. This role is ideal for a proven leader with experience in compliance, risk, audit, controls, or related fields, who excels at developing talent, driving results, and building strong partnerships. As a member of the Compliance Monitoring & Testing Leadership Team, you will help shape program strategy, oversee monitoring, testing, and inspection activities, report on program performance, and drive continuous enhancements across the function. No two days are the same—one day you may be coaching your team through regulatory reviews, another collaborating with business partners, and another reviewing and approving key compliance activities. This is a unique opportunity to make a meaningful impact by leading a high-performing team and helping Vanguard uphold its regulatory obligations while protecting our clients. While this position primarily supports our Workplace & Advisor Solutions division, it also contributes to monitoring, testing, and inspection activities across the enterprise.

Requirements

Strong leadership experience.
Minimum of five years related work experience.
Undergraduate degree or equivalent combination of training and experience.

Responsibilities

Hires, evaluates, and supervises crew. Provides guidance and training as necessary to develop crew. Sets performance standards, reviews performance, and makes informed compensation decisions in accordance with all applicable Human Resources policies and procedures.
Oversees and leads the team in routine monitoring, testing, and inspections, including investigations of alleged noncompliance with applicable laws, regulations and corporate policies.
Serves as an advisor to the business, and interfaces regularly with business area stakeholders and internal risk and compliance partners.
Prepares written reports and provides recommendations for improvement.
Provides guidance to mitigate compliance risks and control gaps.
Identifies and gains agreement on corrective action plans for resolution of Compliance Issues.
Recommends practices to reduce potential violations and noncompliance.
Manages operational efficiency. Sets measurable goals leveraging internal and external resources accordingly.
Reports on the results.
Follows approved investigation procedures and reports on corrective actions.
Maintains a deep knowledge and awareness of Vanguard, the regulatory environment, and the investment industry. Stays abreast of current market, regulatory and industry relevant news.
Serves as an expert and provides guidance to team on compliance related issues.
Participates in special projects and performs other duties as assigned.