Cybersecurity Senior Compliance Advisor
Vanguard is a leading provider of financial products and services to individual and institutional investors world-wide. In addition, Vanguard is an employer of choice that continually invests in the growth, development and success of its employees over the course of their Vanguard careers.
Vanguard's Office of the General Counsel Division addresses a wide range of complex and compelling compliance issues. To support its growing business, Vanguard is seeking a Cybersecurity Senior Compliance Advisor to support Vanguard's security group, Enterprise Security & Fraud ("ES&F"). The position is responsible for a broad portfolio of cybersecurity regulatory matters and offers substantial opportunity for long-term growth.
Vanguard's ES&F is responsible for ensuring confidentiality and integrity of Vanguard, its crew, and its clients' confidential information, as well as physical security at Vanguard's offices world-wide. ES&F crew staff Vanguard's Cybersecurity Operations Center, Fraud Prevention department, Identity and Access Management group, and administer Vanguard's information security policies and procedures. From scouring the dark web for threats, to ensuring that Vanguard's software and infrastructure are secure, to training Vanguard's crew to spot phishing emails, ES&F works 24/7/365 to protect Vanguard and its clients.
Duties and Responsibilities
- Serves as a trusted advisor to ES&F and other internal business clients. Works collaboratively to develop policies, procedures and controls designed to ensure compliance with applicable laws and regulations. Provides guidance in connection with people, process, technology and regulatory changes. Assists ES&F in the resolution of issues.
- Leads, manages and participates in compliance oversight efforts and projects across the company to protect Vanguard's reputation. Manages and continually improves Vanguard's Compliance Programs. 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 deadlines.
- 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.
- Maintains and demonstrates a thorough understanding of all cybersecurity and other regulations that are applicable to ES&F. Monitors developments, proposed rules changes and amendments in applicable rules and regulations, assesses the potential impact to Vanguard's operations, and coordinates the implementation should such be adopted or finalized.
- 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.
- Partners with internal business clients to effectively negotiate solutions to complex and elevated operational matters and ensures that solutions meet the needs of the business and comply with all applicable rules and internal policies. Maintains and demonstrates a thorough understanding of business needs and business strategy.
- Provides guidance and support to the legal, compliance and corporate policy issues impacting internal business clients. Partners with the business to ensure the adequacy of controls and policies, identify actual and potential problem areas, and respond to reportable issues.
- Prepares regulatory reports and applicable management reporting as necessary, identifies and tracks key measures and metrics, and designs presentations to facilitate senior management discussions.
- Participates in developing and delivering training and education to the business as needed.
- 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.
- 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 special projects and performs other duties as assigned.
Qualifications and Experience
- Undergraduate degree or equivalent experience required.
- Minimum four to six years relevant business experience. Regulatory, compliance, or auditing experience preferred.
- Broad understanding of cybersecurity and applicable 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.
Candidates must share Vanguard's core values, including unmatched ethical standards and client service, strong work ethic, and can-do attitude. Candidates must foster a team environment by building collaborative, trusting relationships with others through effective communication, empathy and respect and advancing the development and success of others.
Candidates must be skilled at successfully collaborating with, enabling, working through, and influencing legal colleagues, in-house corporate partners, and business clients at all levels, including senior management.
Vanguard is truly a terrific place to work-a sample of Vanguard's many employment related accolades can be viewed at Vanguard's website: https://careers.vanguard.com/ .
Vanguard is an Equal Opportunity employer committed to diversity and inclusion in the workplace.
Vanguard is not offering visa sponsorship for this position.
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