Sr Compliance Testing Lead

In this role you will oversee compliance inspections and support the development implementation and maintenance of compliance processes as well as compliance monitoring functions.

You will serve as a trusted advisor to the business and provides guidance and oversight of regulated activities.

The ideal candidate must demonstrate and have a strong understanding of Regulation ERegulation CCNACHA rulesFINRA oversight and may hold and active CRCM.

If you thrive in a fast-paced precision-driven environment and are passionate about protecting investors while enabling innovation we invite you to shape our compliance strategy and elevate our client experience.

Responsibilities

• Conducts routine and targeted compliance monitoring and testingacross financial services operations with a focus on cash products and money movement. Applies knowledge of relevant regulations (e.g. Regulation E Regulation CC NACHA) to assess control effectiveness and identify gaps.

• Leads investigations of potential violationsof Vanguards ethical standards and noncompliance with applicable laws regulations and internal policies. Collaborates with internal stakeholders to ensure timely resolution and documentation.

• Prepares clear and actionable inspection and assessment reports including root cause analysis and recommendations for remediation. Communicates findings to business partners and senior compliance leadership.

• Provides compliance guidance and advisory supportto business units helping to mitigate risk and strengthen control environments. Advises on regulatory implications of new products and operational changes.

• Oversees the design implementation and maintenance of compliance policies and procedures ensuring alignment with evolving regulatory expectations and industry best practices.

• Identifies and implements corrective action plansfor areas of noncompliance or control weakness. Recommends proactive measures to reduce future risk exposure.

• Manages operational efficiency of compliance testing programs including setting measurable goals tracking performance and leveraging internal and external resources to optimize outcomes.

• Follows approved monitoring and testing procedures ensuring consistency accuracy and documentation of results. Escalates issues as appropriate and tracks corrective actions to closure.

• Maintains deep knowledge of the investment and financial services industry with a focus on broker-dealer operations and banking-like features. Monitors regulatory developments and market trends to inform compliance strategy.

• Serves as a subject matter expert and liaison to regulatory agencies internal audit and risk partners. Supports regulatory exams and inquiries with timely and thorough responses.

• Participates in special projects and enterprise initiatives contributing compliance expertise to cross-functional efforts and strategic priorities.

Qualifications

• Minimum 5 years of compliance experience in financial services with at least 2 years in broker-dealer or banking-like operations.

• Proven experience inRegulation ERegulation CCNACHA rules and FINRA oversight

• An active CRCM is highly desirable

• Strong analytical writing and stakeholder engagement skills.

• Experience designing and executing compliance testing frameworks.

Special Factors

Sponsorship

About Vanguard

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

To work for the long-term 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.

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.