Compliance Consultant

To perform and review accurate compliance testing and analysis functions for Vanguard's defined contribution compliance testing clients. To establish and maintain relationships and communicate with internal and external clients at various levels to perform compliance related tasks, discuss compliance related issues and communicate compliance test results. To assist management in the oversight and coaching of a team of administrators in the performance of compliance testing and analysis and testing responsibilities. To develop and maintain technical skills and regulatory knowledge consistent with compliance testing functions.

Duties and Responsibilities

  • Prepares and reviews compliance testing and analysis functions for defined contribution plans.
  • Researches and resolves compliance technical and regulatory issues independently.
  • Delivers required compliance testing services within established time-frames in accordance with client and regulatory deadlines.
  • Ensures proper review, sign-off and quality controls of all compliance testing and analysis functions for assigned clients.
  • Documents and maintains Vanguard and department standard communications; provides appropriate written and oral communications to clients and internal personnel necessary to complete required functions, resolves issues, and delivers results for assigned clients.
  • Establish and maintain internal and external client relationships with respect to compliance testing issues.
  • Assists in the coaching and guidance of team members in both technology (systems used) and technical regulatory areas related to the performance of compliance testing and analysis functions.
  • Pro-actively focuses on enhancing technology and regulatory skills and knowledge related to the performance of compliance testing and analysis functions including industry designations and certifications.
  • Facilitates conference calls, client meetings, and internal meetings independently as needed.
  • Participates in special projects, Vanguard corporate activities, and performs other duties as assigned.


  • Undergraduate degree or equivalent combination of training and experience.
  • Minimum three years of compliance testing experience as related to qualified defined contribution plans.
  • Ability to communicate clearly both written and verbally to a variety of audiences, particularly on defined contribution nondiscrimination and compliance testing issues.
  • Excellent data analysis and technology skills including ability to work extensively in Excel.
  • Demonstrated analytical/problem solving skills related primarily to regulatory issues.
  • Ability to assess problem situations and apply technical knowledge to propose and deliver accurate solutions for general and complex compliance testing.
  • Ability to organize, prioritize and process multiple issues simultaneously.
  • Ability to oversee the completion of tasks by multiple personnel for assigned clients.
  • Knowledge of regulatory environments as related to defined contribution plans.
  • Knowledge of record keeping database and compliance/nondiscrimination testing tools.

Special Factors

Extended hours will be required, especially during peak activity months.

Vanguard is not offering visa sponsorship for this position.

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