Compliance Supervisor - Code of Ethical Conduct

Responsibilities:

• Hires, onboards, evaluates, and supervises crew. Leads a team responsible for identifying and investigating potential violations of the Code of Ethical Conduct and supporting policies. Provides guidance and training to team regarding COEC processes and procedures to ensure regulatory compliance and protect shareholder assets. Sets performance standards, reviews performance, and makes informed compensation decisions in accordance with HR policies.
• Manages a team (of six analysts) performing day-to-day supervision of employee personal trading compliance, monitoring and maintenance of employee accounts, employee gift and entertainment requests, compliance alerts stemming from internal certifications, employee outside business activity requests, employee conflict of interest disclosures, and more.
• Leads the collection of documentation and exceptions required for internal due diligence reviews. Responsible for team procedure inventory and record change log. Evaluates the accuracy of operational procedures to ensure compliance with established regulatory standards.
• Supports senior specialist with compliance vendor monitoring, scorecard, and issue management/ reporting.
• Is responsible for the alert resolution framework, resolves exceptions according to established guidelines. Raises alerts and elevates complex issues as vital.
• Assists with required internal and external reporting in accordance with departmental policies and regulatory guidelines.
• Responsible for team operational dashboards, metrics, KPI's, SLAs, demand and capacity, and the like. Presents key findings and recommendations to management.
• Participates in formal and informal educational activities, including presentations, staff meetings and training programs. Contributes to the development of GFC4 related training and education for more junior crew members.
• Establishes and maintains a broad knowledge of the investment industry and compliance developments with implications for Vanguard's COEC program. Stay on top of the current market, regulatory and industry news. Serves as a consultant on compliance related issues. Acts as a liaison to regulatory agencies.
• Participates in special projects and performs other duties as assigned.

• Minimum three years related work experience.
• Regulatory, compliance, or auditing experience preferred.
• Undergraduate degree or equivalent experience combination of training and experience.
• Hybrid work schedule (in office Tuesday, Wednesday, Thursday).

• Proficient in Microsoft Suite, including Microsoft Excel (writing/applying formulas, aggregating large data sets, pivot tables, etc.)
• FINRA Series 7 and/or 24 a plus.
• Experience with UI Path/Citizen Developer.
• Experience with PowerBi/PowerApps.
• Financial/Investment product competence.