Senior Compliance Director – Regulatory Engagement & Policy Governance

Provides enterprise-wide strategic leadership for Vanguards regulatory engagement program andCompliancePolicy Governance Framework. Establishes program standards governance and oversight for regulator interactions and exam management to ensure consistenttimely and well-controlled communications documentation and outcomes. Owns the operating model and data discipline for logging and tracking regulatory interactions in the designated system of record (e.g. Dynamics) including controls data quality standards and management reporting. Leads the design and continuous enhancement of a controlled risk-based and auditable policy governance framework (taxonomy ownership approvals and lifecycle expectations) supported by the designated system of record (e.g. Archer). Partners with the Global Head of Enterprise Compliance & Governance and key stakeholders tomonitorevolving regulatory requirements translate obligations into clear policy expectations and deliver transparent executive-ready materials and reporting for senior leaders and governance forums.

Core Responsibilities:

• Builds and leadsateam responsible for regulatory engagement execution and compliance policy governance. Hires coaches and develops crew; sets performance expectations; providestimelyfeedback; and makes compensation decisions in alignment with Human Resources policies and procedures.

• Sets the strategy and operating model for Vanguards regulatory engagement program including governance controls and routines to manage regulatory inquiries exams and ongoing supervisory interactions.

• Directs execution of regulatory engagements from intake through close-out (scoping request management internal reviews/approvals submissions meeting preparation and documentation/evidence retention) applying escalation and decision protocols as needed.

• Partners with Legal Government Public Policy Risk and business leaders to align messaging and ensureappropriate governanceover regulator meetings commitments and follow-ups.

• Coordinates regulatory findings and recommendations and related corrective action plans byestablishingownership timelines and evidence standards; monitoring progress to closure; and escalating delays or risk acceptance decisions throughappropriate governanceforums.

• Owns the regulatory engagement system of record (e.g. Dynamics) used to log and track regulator interactions including user/process governancedata standards workflow controls and auditability. Establishes andmaintainsdashboards and reporting to provide transparency into engagement volumes response timeliness open items/commitments themes and emerging risks for senior leaders and governance forums.

• Leads the development and continuous improvement of the Compliance Policy Governance Framework including policy taxonomy and definitionsdocument standards and templates roles and accountabilities and lifecycle requirements (draft review approve publish communicate train and refresh). Ensures the policy inventory isaccurateandmaintainedin the designated system of record (e.g. Archer) with disciplined version control and audit trail.

• Drives enterprise adoption of the Compliance Policy Governance Framework by partnering with policy owners to execute policy drafting and refresh cyclescommunications and training and consistent implementation. Establishes and oversees governance for material vs.nonmaterialchanges waivers/exceptions and documentation requirements.

Core Competencies:

• Regulatory engagement leadership and exam management

• Regulator-facing written and verbal communication; executive-ready storytelling
  Compliance policy governance framework design and lifecycle discipline (taxonomy ownership approvals)

• Program management rigor (controls metrics dashboards and escalation)
  Executive presence stakeholder management and influence across the enterprise

• Strategic and analytical thinking; translating regulatory expectations into practical requirements

• Integrity discretion and sound judgment in regulator-facing matters

• Change leadership and continuous improvement

Qualifications:

• Minimum of eight years related work experience with at least five years in compliance;demonstratedexperience engaging with regulators and managing regulatory interactions within a financial services firm. Supervisory experience preferred.

• Law degree preferred but not

• Demonstrated experience developing revising and governing enterprise policies/standards includingmaintainingpolicy inventories/taxonomies and ensuring strong documentation and evidence of oversight.

• Excellent written and verbal communication skills with the ability to engage with regulators senior management and internal teams; strong analytical and problem-solving skills to assess risk and provide strategic solutions; strong attention to detail to manage complex regulatory reporting and documentation requirements.