Compliance Manager, Head of Workplace & Advisor Solutions Monitoring & Testing

Responsibilities

• 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.
• Oversees and leads the team in routine monitoring, testing, and inspections, including investigations of alleged noncompliance with applicable laws, regulations and corporate policies.
• Serves as an advisor to the business, and interfaces regularly with business area stakeholders and internal risk and compliance partners.
• Prepares written reports and provides recommendations for improvement.
• Provides guidance to mitigate compliance risks and control gaps.
• Identifies and gains agreement on corrective action plans for resolution of Compliance Issues.
• Recommends practices to reduce potential violations and noncompliance.
• Manages operational efficiency. Sets measurable goals leveraging internal and external resources accordingly.
• Reports on the results.
• Follows approved investigation procedures and reports on corrective actions.
• Maintains a deep knowledge and awareness of Vanguard, the regulatory environment, and the investment industry.
• Stays abreast of current market, regulatory and industry relevant news.
• Serves as an expert and provides guidance to team on compliance related issues.
• Participates in special projects and performs other duties as assigned.

Qualifications

• Strong leadership experience.
• Minimum of five years related work experience.
• Undergraduate degree or equivalent combination of training and experience.

About the role

This role is ideal for a proven leader with experience in compliance, risk, audit, controls, or related fields, who excels at developing talent, driving results, and building strong partnerships. As a member of the Compliance Monitoring & Testing Leadership Team, you will help shape program strategy, oversee monitoring, testing, and inspection activities, report on program performance, and drive continuous enhancements across the function.