Compliance Director, Recordkeeping Services & Institutional Distribution

Vanguard has an exciting opportunity for a Compliance Director for Recordkeeping Services and Institutional Distribution this role you will be responsible for owning Vanguards compliance advisory coverage model for retirement plan recordkeeping services and other institutional distribution-related business activities.

The ideal candidate should demonstrate a strong track record of delivering a risk management framework at scale in a dynamic business environment providing leadership to a team of professionals and serving as a trusted advisor to senior leaders. This role is a thought leader within the Compliance Department with significant visibility to senior compliance leadership and governance bodies.

Responsibilities

Own and continuously evolve the compliance coverage of Vanguards retirement plan recordkeeping services and other institutional distribution-related business activities.

• Establish efficient and effective processes to identify assess remediate and report on material compliance risks. Educate business partners on how to engage compliance when escalation is required and what good controls look like.
• Lead preparation for and coordination of regulatory examinations audits inquiries and supervisory interactions.
• Ensure compliance coverage adapts as business models products services and regulatory expectations change.

Lead and develop a team of compliance professionals setting clear expectations and measurable and develop a team of compliance professionals setting clear expectations and measurable outcomes.

• Drive consistent execution through effective leadership oversight and accountability.
• Coach and develop talent through feedback prioritization discipline and consistent standards for written/oral communication.

Serve as a trusted compliance advisor and partner.

• Develop deep knowledge and act as the expert for complex recordkeeping retirement services and other institutional distribution matters.
• Build and strengthen strong partnerships with senior business leaders compliance colleagues advisory partners and other key stakeholders.
• Provide practical risk-based guidance across topics applicable to the recordkeeping business and institutional distribution activities including ERISA/DOL and SEC considerations.

Inform and enable senior compliance leadership.

• Create and mature clear concise and decisionoriented upward reporting to senior compliance department leadership and relevant governance bodies.
• Surface material compliance risks with appropriate context impact analysis and recommended paths forward.
• Support enterpriselevel risk discussions by connecting recordkeepingspecific issues to broader compliance and reputational considerations.

Qualifications

• Minimum of 8 years experience in financial services with at least 5 years in compliance risk legal or a control function.
• Undergraduate degree or equivalent combination of training and experience.
• Experience leading and developing highperforming teams.
• Ability to build or evolve a risk coverage model (or comparable controls/operating model) that includes intake triage escalation and transparency.
• Proven ability to translate regulatory requirements into practical businessready guidance.
• Executive presence: ability to translate complex compliance issues into plain-English options and decision-ready recommendations.
• Experience supporting retirement plan recordkeeping or similar complex financial services preferred.
• Experience with U.S. Department of Labor (DOL) and ERISA regulatory frameworks preferred.

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.