Interim Chief Compliance Officer

Job Profile Summary

The Interim Chief Compliance Officer (CCO) serves as the senior compliance leader for the organization responsible for overseeing the design implementation and effectiveness of the compliance program across business activities investment products and regulated functions. This executive provides independent oversight strategic guidance and risk-based advice to senior leadership while fostering a strong culture of ethics integrity and regulatory compliance.

As a trusted advisor to executive stakeholders the Interim CCO partners with business leaders to assess regulatory impacts support strategic initiatives and ensure compliance with applicable laws regulations and internal policies. The role provides leadership during a critical transition period while maintaining a robust control environment and ensuring continued regulatory readiness.

About Vanguard

Vanguard is one of the worlds leading investment management companies serving more than 50 million investors globally and managing trillions of dollars on behalf of individual investors institutions and financial professionals. Guided by a clear purpose to take a stand for all investors treat them fairly and give them the best chance for investment success Vanguard is committed to delivering high-quality investment solutions trusted advice and strong stewardship on behalf of its clients. Vanguard Investments Canada Inc. is part of Vanguards global business and brings the firms investor-first philosophy scale expertise and commitment to excellence to Canadian investors. Vanguard Investments Canada Inc. is registered as an Investment Fund Manager Portfolio Manager and Exempt Market Dealer and distributes its investment products primarily through Canadian financial advisors and investment dealers.

Key Responsibilities

• Serve as the designated Chief Compliance Officer and provide compliance leadership and independent oversight to the business senior management and Board of Directors.
• Lead and oversee Vanguard Investments Canadas compliance program ensuring compliance with applicable Canadian securities laws regulations and industry standards.
• Implement and maintain the Vanguard Groups Global Compliance Program in Canada aligning global compliance standards with Canadian regulatory requirements.
• Develop maintain and enhance compliance policies procedures controls and monitoring programs to identify assess and mitigate regulatory and compliance risks.
• Lead the firms compliance testing surveillance monitoring activities and training ensuring timely identification escalation and remediation of compliance matters and regulatory breaches.
• Monitor regulatory developments and assess their impact on Vanguards Canadian operations funds products and distribution activities.
• Maintain effective relationships with Canadian securities regulators and lead regulatory examinations inquiries audits and compliance reporting activities.
• Act as management liaison to the Independent Review Committee (IRC) for Vanguards public investment funds including oversight of conflict-of-interest processes and regulatory reporting under NI 81-107.
• Partner with business legal risk and operational stakeholders to provide compliance advice on strategic initiatives new products governance matters and regulatory developments.
• Support and develop the Compliance function establishing priorities enhancing operational effectiveness and driving continuous improvement in compliance processes systems and controls.
• Lead coach and develop a team of compliance professionals fostering a high-performing and collaborative environment.
• Support executive and board-level reporting as required.
• Participate in strategic initiatives special projects and other duties as assigned.

Qualifications

• Bachelors degree or equivalent combination of education and relevant experience.
• 8 years of progressive compliance regulatory legal risk management or related experience within the financial services industry.
• Leadership experience managing compliance functions and teams.
• This role requires a registration with Canadian securities regulators as the Interim Chief Compliance Officer

AI Disclosure Statement

Vanguard does not use artificial intelligence (AI) or automated decision-making tools in its recruitment process. All application reviews and hiring decisions are made by our recruitment team.

Accommodations

Vanguard is committed to fostering an accessible and inclusive workplace. We are committed to providing barrier-free and accessible employment practices in compliance with the Accessibility for Ontarians with Disabilities Act (AODA) and the Ontario Human Rights Code. If you require accommodation at any stage of the recruitment process please inform us. We will work with you to meet your needs and you can reach us at quoting thejob IDandjob title.

How We Work

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.