Chief Compliance Officer, Vanguard International
Chief Compliance Officer, Vanguard International
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Job Description
Core Responsibilities
1. 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.
2. Provides ultimate strategic leadership over the businesss compliance program. Directs compliance activities. Partners with senior business leaders and stakeholders to provide advice and ensure compliance with regulatory requirements.
3. Directs preparation and coordination efforts leading up to regulatory visits. Oversees and serves as a liaison for interactions between the business and examiners as well as regulatory agencies.
4. Sets the strategy for the development of compliance policies and procedures specific to the business unit. Directs team activities and partners closely with business unit leaders during the implementation of compliance standards and practices.
5. Provides final review and approval of corrective action plans to resolve of problematic compliance issues. Drives strategies and practices to reduce potential for violations and noncompliance of Vanguards business activities and investment products.
6. Reviews metrics for operational efficiency to determine gaps and strategy for continuous improvement. Develops and delivers required reporting on compliance audits to senior business leadership and Vanguards Chief Compliance Officer.
7. Partners with senior leaders to serve as a trusted advisor related to business initiatives and new product launches.
8. Serves as a recognized expert and critical resource related to compliance issues. Applies deep expertise to lead a compliance program and develop framework for complex compliance related issues.
9 Participates in special projects and performs other duties as assigned.
Qualifications
- Minimum of ten years related work experience with at least five years in compliance. Regulatory compliance investment or auditing experience preferred. Supervisory experience preferred.
- Undergraduate degree or equivalent combination of training and experience. Graduate degree preferred.
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.
Required Experience:
Chief
Employment Type
Full-Time
