Regulation Best Interest Program Senior Manager

Responsibilities:

1. Hires, evaluates, and supervises crew. Provides guidance and training as necessary to develop crew. Sets performance standards, reviews performance, and makes informed compensation decisions in accordance with all applicable Human Resources policies and procedures.

2. Leads the strategy, operational communication approach, and master change management program plan for broad, complex initiatives. Drives all phases from inception through implementation while ensuring that business objectives are delivered with high quality and within targeted timeframes. Secures senior management buy-in across the department/division.

3. Creates and maintains the business transformation strategy that clearly identifies specific actions and tasks needed to achieve future state goals. Provides written and verbal communication to many different audiences within Vanguard on the status.

4. Works collaboratively with all business leaders and other impacted departments, and coordinates efforts across stakeholder groups to analyze and assess readiness for change.

5. Builds and maintains strategic relationships across sites, departments, divisions, and internal and external partners to support the business transformation and change management initiatives. Develops strong relationships with program leadership, sponsors, and workstream leads.

6. Ensures all steps are taken to mitigate risk, and maintains control, compliance, audit, and legal requirements. Integrates and oversees change management efforts across the overall program. Closely monitors costs and budget and escalates cost variances appropriately and timely.

7. Develops measurement processes for change management success that help business partners do self-assessments based on communicated maturity models.

8. Participates in special projects and performs other duties as assigned.

Qualifications:

• Minimum of eight years related work experience. Five years of business transformation and or change management experience. Supervisory experience preferred.
• Undergraduate degree or equivalent combination of training and experience required. Graduate degree preferred.
• 8+ years of progressive experience in broker-dealer compliance, regulatory risk, or conduct supervision, including ownership of enterprise regulatory programs.
• Proven experience designing and maintaining governance frameworks, policies, controls, monitoring, and testing programs for retail advice or investment recommendations.
• Strong leadership and influencing skills, with experience partnering cross-functionally with Legal, Risk, Supervision, Product, and Distribution leaders and presenting to senior executives.
• FINRA Series 7 and Series 24 (or ability to obtain); professional certifications (CRCM, CCEP, CFA, or PMP) preferred but not required.