Senior Manager, Legal & Compliance

About Vanguard
Founded in 1975, Vanguard is one of the world's leading investment management companies. The firm offers investments, advice, and retirement services to tens of millions of individual investors around the globe-directly, through workplace plans, and through financial intermediaries.

Vanguard's India Office

Vanguard's office in India is a significant milestone in our global expansion. We are committed to establishing an enduring technology center in Hyderabad, Telangana and are excited to be adding talent who will focus on Artificial Intelligence (AI), mobile, and cloud-based technologies that drive our business outcomes and deliver a world-class experience for our clients.

Role Summary:

This role is responsible for providing strategic leadership and direction over a dynamic compliance environment. Leads initiatives to enhance compliance risk management activities while developing and maintaining a comprehensive compliance program and resulting framework to protect Vanguard's reputation. Works with Vanguard's Chief Compliance Officer and applicable stakeholders to identify and respond to ongoing regulatory changes and implement required policies and procedures inclusive of appropriate operational and compliance oversight.

Responsibilities:

• 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.
• Provides strategic leadership in defining and implementing a compliance risk management framework to be executed by a team of compliance professionals. Directs compliance activities, that may include compliance monitoring, inspections, reporting, and quality assurance. Oversees investigations of alleged violations of Vanguard's ethical standards and noncompliance with applicable laws, regulations, and corporate policy issues. Partners with senior business leaders and stakeholders to educate as well as provide advice and training to ensure compliance with regulatory requirements.
• Oversees department preparation and coordination efforts leading up to regulatory visits. Serves as a primary liaison to examiners and regulatory agencies.
• Leads the development of compliance policies and procedures. Partners closely with leaders across the enterprise as well as colleagues in other risk and control functions across Vanguard to ensure the consistent implementation of compliance program standards and practices.
• Drives the identification and development of corrective action plans to resolve problematic compliance issues. Develops strategies and practices to reduce potential for violations and noncompliance. Reports on corrective actions.
• Sets standards and metrics for operational efficiency. Develops and delivers required reporting on compliance audits to business leaders and Vanguard's Chief Compliance Officer. Manages the compliance department's record keeping program.
• Leads strategic compliance support related to business initiatives and new product launches.
• Maintains an expert knowledge and awareness of the investment industry. Stays abreast of current market, regulatory and industry relevant news while building agility into compliance risk management activities to drive responsiveness. Serves as an expert and key resource related to compliance issues. Utilizes deep expertise to lead a team and develop a response to complex compliance related issues. Acts as a liaison to regulatory agencies.
• Ensures strong alignment with Indian laws (Companies Act, Foreign Exchange Management Act, labor laws) while maintaining global compliance standards.
• Supports board governance, audit oversight, and third-party compliance evaluations to strengthen enterprise risk management.
• Oversees legal documentation, litigation support, and coordinates with internal stakeholders, global teams, and external counsel as required.
• Participates in special projects and performs other duties as assigned.

• Minimum 8 years of relevant work experience, with supervisory experience preferred.
• Chartered Accountant, MBA, or equivalent degree in finance, law, or risk management.
• In-depth knowledge of industry-specific compliance regulations, corporate governance standards, and risk assessment frameworks, both domestic and international.
• Proven track record in policy design, implementation, and monitoring, as well as driving compliance culture across large or complex organizations.
• Experience in regulatory liaison and audits, including handling inspections, responding to notices, and ensuring timely closure of compliance gaps.
• Demonstrated expertise in governance and risk oversight, including board-level compliance reporting.
• Strong skills in data interpretation, compliance analytics, and preparation of risk/compliance reports for senior leadership and regulatory bodies.
• Strong communication and stakeholder management abilities.
• Proficiency in risk reporting tools and compliance management systems.