Head of Marketing Compliance, Office of the General Counsel
Bring your Compliance Marketing Expertise
Vanguard's core purpose is to take a stand for all investors, to treat them fairly, and to give them the best chance for investment success. In support of our innovative, multi-faceted and highly regulated business lines, Vanguard's Compliance Department encounters a wide range of complex and compelling issues while providing exceptional, high-value business partnership and compliance support. To support its growing and evolving retail investor business, Vanguard seeks a highly skilled compliance professional to lead our compliance marketing function. The overall Vanguard Marketing Corporation (VMC) Compliance team manages a dynamic compliance environment and maintains a comprehensive broker-dealer compliance program framework for Vanguard. The SCMM role leads a team of compliance professionals covering all regulated brokerage activities, primarily supporting our retail investor business, with additional responsibility for advertising and marketing compliance as well as for firm-wide licensing and registration. The leader in this role will work directly with the VMC Chief Compliance Officer and sits on the senior Compliance leadership team. Your responsibilities will also include the ongoing development of a comprehensive compliance program, partnering with leaders from with the Retail Investor Group, as well as identify, respond and implement additional program process and policies due to regulatory changes.
In this role...
- Manage a team of compliance professionals. Provides guidance, training and motivation as necessary to develop staff. Reviews performance, provides feedback and recommends wage increases/adjustments in accordance with the applicable policies and procedures
- Protect and enhances Vanguard's reputation through its formalized compliance programs by maintaining strong relationships with critical control partners and the various business lines, and ensuring all business unit policies and procedures supporting compliance activities are well developed, maintained and controlled
- Partner across Vanguard' Office of the General Counsel and other departments to analyze and resolve potential compliance issues and respond to changes in regulatory requirements
- Manage, coordinate, and ensures readiness for regulatory examinations. Acts as a liaison for the examiners, coordinates the gathering and production of requested documentation and meetings and completes retention of backup files for future reference
- Develop and maintain a broad knowledge and awareness of the investment industry, regulatory and/or policy changes with potential impact on compliance monitoring or reporting and serves as a technical expert on compliance issues
- Provide leadership and strategic direction for compliance related matters. Collaborates with business area leaders supporting compliance activities to sustain and strengthen compliance with the FINRA, SEC and other regulatory agencies through the design, implementation and periodic review of the compliance program
- Manage effective working relationships across Vanguard and with regulatory agencies by developing, maintaining, and broadening lines of communication between, and with, business leaders, the Office of the General Counsel , the VMC Chief Compliance Officer, and other control groups
- Develop and deliver required reporting as applicable and assists in the development of quarterly and annual reporting to the Board through the Chief Compliance Officer
- Lead, manage and oversees a variety of projects related to compliance activities across the company. Handles multiple projects simultaneously from conception through execution and implementation. Coordinates, prioritizes and actively manages tasks as needed to meet project timelines. Leads, plans and facilitates project meetings, communicates with relevant stakeholders, ensures requirements and priorities are understood and monitors and report on progress
- Participate in the development of departmental budget. Estimates costs for headcount, staffing issues, current volumes, forecasts for anticipated volumes and related operational expenses to implement annual objectives/performance improvements and ensures the Compliance Department operates within established budgetary guidelines. Approves expenses within established limits
- Work with business contacts and/or Vanguard University to design, develop, and deliver compliance-oriented training to continuously develop compliance knowledge, skills and competencies
- Participate in special projects and perform other duties as assigned
- Undergraduate degree or equivalent combination of training and experience
- Minimum of eight years of industry experience with compliance or auditing background
- Knowledge of and experience with SEC, FINRA, and/or ERISA regulations preferred
- Excellent relationship management and verbal and written communication skills. Ability to interact with individuals at various levels throughout the company. Experience in managing external regulatory relationships preferred
- Excellent planning, analytical and time management skills
- Demonstrated track record of self-initiated program development and program management
- Proven project management and leadership skills
- Ability to quickly learn a new regulatory and compliance environment and to lead the development of a new structured compliance program
- Ability to work independently and autonomously, with a limited amount of direction, yet collaboratively as part of a senior leadership team
- As required, ability to obtain FINRA licenses (series 7, 24 and 63), within 6 months
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.
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.
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