Head of Enterprise Compliance

Core Responsibilities:

• Engage with and educate business partners on regulations impacting Vanguard; ensure regulatory requirements are understood and controls and operating environments are designed to meet regulations and industry standards.
• Assist with the design and management of Compliance governance forums and serve as a guide to business partners and corporate functions in navigating enterprise regulatory matters.
• Participate in governance activities provide compliance guidance on compliance issues corporate programs and operations.
• Build out aspects of the Compliance Oversight program including the regulatory inventory risk assessment and management reporting across domains.
• Hire evaluate and supervise crew. Provide guidance and training to develop crew set performance standards review performance and make informed compensation decisions in accordance with all applicable Human Resources policies and procedures.
• Oversee and manage a centralized regulatory response program coordinate regulatory examinations support exam requests and inquiries and ensure regulatory compliance.
• Lead the development of compliance policies and procedures and partner with business leaders to oversee the implementation of compliance standards and practices.
• Drive the identification and development of corrective action plans to resolve problematic compliance issues. Develop strategies and practices to reduce potential for violations and noncompliance.
• Maintain an expert knowledge and awareness of the investment industry. Stay abreast of current market regulatory and industry relevant news. Serve as an expert and key resource related to compliance issues.
• Participate in special projects and performs other duties as assigned.

Qualifications:

• Previous experience in designing and leading enterprise compliance teams.
• Minimum of 12 years related work experience; supervisory experience required.
• Undergraduate degree or equivalent combination of training and experience

Special Factors

Sponsorship

About Vanguard

At Vanguard we dont just have a missionwere on a mission.

To work for the longterm 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.

Our commitment to diversity equity and inclusion

Vanguards commitment to diversity equity and inclusion (DEI) is central to our ability to deliver on our mission. We aspire to create a work environment that is inclusive equitable and diverseone that enables our employees whom we call crew to thrive and bring their best selves to work every day on behalf of our clients.

Cultivating DEI lifts our entire organization and everyone shares accountability for our progressfrom our senior leaders who lay the foundation and set the example for inclusive behaviors to crew who are growing in their personal DEI learning experiences.

Together were on a mission. We are fueled by the value of diverse voices and connected through friendships and a culture of carefor our clients our communities and each other.

Vanguards DEI journey has no finish line. Our commitment is enduring and we remain focused on the path ahead. To learn more about Vanguard goals and progress toward DEI download our Diversity Equity and Inclusion Report.

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 inperson learning collaboration and connection. We believe our missiondriven and highly collaborative culture is a critical enabler to support longterm client outcomes and enrich the employee experience.