Compliance Director- U.S. Regulatory Inventory & Regulatory Change Management

The Compliance Programs Operations and Methodology team is responsible for implementing and maintaining the integrated compliance programs in line with regulatory expectations and industry standards. These programs include risk taxonomies, regulatory change management and legal inventory, compliance risk assessment, issues management, training, reporting, and other associated components of the compliance risk management framework. The team seeks a crew member to oversee and execute its various programs with primary focus on the regulatory library and regulatory change management function initially. This crew member will engage in the design, development, implementation, documentation, and maintenance of Vanguard's core compliance programs listed above. Skills related to assessment methodologies, project management, regulatory obligations and controls, business and compliance acumen, change management, stakeholder relationship management, communication, and organization are critical to this role.

This role will entail working across the Compliance Department, Office of General Counsel, and throughout the wider Vanguard organization as well as third parties providing GRC and RegTech solutions / workflow. The appropriate candidate for this role will have experience designing and implementing compliance programs in the GRC tool, compliance engineering, and related policies and procedures, as well as composing related reports for use by senior management.

An ideal applicant is a compliance regulatory inventory expert with a proven track record and experience with establishing and maintaining regulatory inventories, regulatory change management programs, and horizon scanning programs. And has established and managed these programs with regulatory intelligence IT solutions, GRC tools, and successful workflow and process requirements.

The Compliance Director-

• Oversees end-to-end workflows (horizon scanning, regulatory change, compliance risk assessments, etc.) for compliance programs within the firm’s GRC tool.
• Develops multi-year plan and strategy for enhancing compliance programs.
• Monitors and communicates regulatory updates and ensures those relevant are updated within the rules inventory.
• Oversees the implementation of compliance controls to ensure gaps are closed.
• Responsible for maintaining and revising policies and procedures for the general operation of the compliance programs and their related activities.
• Provides guidance and training as necessary to develop crew across Compliance.
• Participates in special projects and performs other duties as assigned.

What it takes-

• 8+ years of cross-divisional project management experience.
• Excellent communication and stakeholder management skills with the ability to translate compliance and regulatory language into actional insights for all levels.
• Can navigate ambiguity with ease and bring structure to situations without complete information.
• Undergraduate degree or equivalent combination of training and experience.

Special Factor

Vanguard is not offering visa sponsorship for this position.

You should be aware this will designate you as a Fund Access Person and carries with it certain responsibilities and restrictions. Reference the Code of Ethics Policy for further details.

Special Factors

Sponsorship

Vanguard is not offering visa sponsorship for this position.

About Vanguard

We are Vanguard. Together, we’re changing the way the world invests.

For us, investing doesn’t just end in value. It starts with values. Because when you invest with courage, when you invest with clarity, and when you invest with care, you can get so much more in return. We invest with purpose – and that’s how we’ve become a global market leader. Here, we grow by doing the right thing for the people we serve. And so can you.

We want to make success accessible to everyone. This is our opportunity. Let’s make it count.

Inclusion Statement

Vanguard’s continued commitment to diversity and inclusion is firmly rooted in our culture. Every decision we make to best serve our clients, crew (internally employees are referred to as crew), and communities is guided by one simple statement: “Do the right thing.”

We believe that a critical aspect of doing the right thing requires building diverse, inclusive, and highly effective teams of individuals who are as unique as the clients they serve. We empower our crew to contribute their distinct strengths to achieving Vanguard’s core purpose through our values.

When all crew members feel valued and included, our ability to collaborate and innovate is amplified, and we are united in delivering on Vanguard's core purpose.

Our core purpose: To take a stand for all investors, to treat them fairly, and to give them the best chance for investment success.

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.