Compliance Manager - Vanguard Marketing Corporation

To manage compliance staff and to provide guidance and support to Vanguard Marketing Corporation (VMC) to ensure its activities are conducted in accordance with all applicable regulatory requirements and firm policies and procedures.

  • Manages staff. Provides guidance, training and motivation as necessary to develop staff. Hires, evaluates and counsels personnel. Follows corporate disciplinary procedures per established Vanguard standards as required. Sets performance standards, reviews performance, provides feedback, recommends wage increases in accordance with all applicable Human Resources policies and procedures.
  • Serves as a trusted advisor to Vanguard Marketing Corporation (VMC). Works collaboratively with the business to ensure compliance with applicable laws and regulations. Provides guidance in connection with regulatory changes. Assists the business in the resolution of issues.
  • Leads, manages, coordinates, and ensures readiness for regulatory examinations. As appropriate, acts as a liaison with regulators and impacted business areas by preparing for meetings and coordinating the gathering and production of requested documents in connection with examinations or other regulatory inquiries.
  • Presents key findings and recommendations to business management and Compliance management. Elevates issues, identifies priorities. Tracks follow-up items to ensure they are appropriately resolved. Demonstrates initiative and creativity in independently recommending and implementing solutions to business contacts, senior leaders and the Chief Compliance Officer.Leads, manages and participates in compliance oversight efforts and projects across the company to protect Vanguard's reputation. Manages and continually improves the VMC Compliance Program . Utilizes risk management techniques and business area knowledge to develop, maintain and test relevant policies and procedures. Handles multiple assignments simultaneously from conception through execution and implementation of recommendations. Coordinates, prioritizes and actively manages tasks as needed to meet
  • Develops, maintains and broadens effective working relationships across Vanguard and with regulatory agencies. Fosters lines of communication between, and with, business leaders, the Legal Department, Compliance Department colleagues, global partners, and other control groups. Coordinates activities and efforts as required with other Compliance teams and global partners.
  • Develops and maintains a broad knowledge and awareness of the investment industry and regulatory and/or policy changes with potential impact on compliance monitoring or reporting. Stays abreast of current market, regulatory and industry relevant news. Serves as a technical expert on FINRA, SEC, and MSRB regulations, and all other applicable compliance requirements affecting VMC. Develops technical expertise around broker-dealer activities as well as a deep understanding of applicable systems and software.
  • Participates in developing and delivering training and education to the business, including presentations at staff meetings and formal VU trainings.Prepares regulatory reports and applicable management reporting as necessary and designs presentations to
  • As necessary, supports review and monitoring of electronic communications to ensure compliance with applicable rules or Vanguard policies. Elevates identified issues as appropriate. Participates in and actively supports corporate initiatives like Vanguard Unmatchable Excellence, Gallup Action Planning, etc.
  • Participates in special projects and performs other duties as assigned.

Qualifications

Special Factors

The position is considered a "Fund Access Person" position under Vanguard's Code of Ethics. (See CrewNet.) Some travel, for trainings, seminars and global coordination, may be required.

Vanguard is not offering visa sponsorship for this position.

If you are offered and accept this position, and you do not have the necessary FINRA licenses for the role, then you must obtain the required licenses within the specified period of time. Additionally, if you are not currently registered with FINRA in any capacity, prior to moving into this licensed role, you will be asked to provide authorization for Vanguard to conduct a credit and criminal check in accordance with the FINRA regulations. Please note, the credit and criminal check requirement does not apply to crew who are currently registered with FINRA. Please reference the following article with regard to the licensing requirements of this position.

  • Undergraduate degree or equivalent experience required. Graduate degree preferred.
  • Minimum five years business experience. Regulatory, compliance, investment, or auditing experience preferred.
  • Series 7, 24 and 63 licenses or ability to successfully complete within 90 days of entry into position.
  • Broad understanding of Vanguard's business and the investment management industry; knowledge of and experience with SEC, FINRA, OCC and MSRB regulations preferred.
  • Excellent relationship management skills, including ability to interact with individuals at various levels internal and external to the company.
  • Demonstrated ability to function in a fast-paced, ambiguous environment while managing multiple and diverse responsibilities.
  • Proven ability to develop and implement new business plans or change direction in a dynamic environment.
  • Excellent judgment and decision-making skills; ability to analyze and respond to issues.
  • Excellent verbal and written communication skills.
  • Familiarity with and experience in using relevant broker dealer systems and applications, as applicable.

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