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Vanguard · 4 hours ago

Compliance Manager, Head of Workplace & Advisor Solutions Monitoring & Testing

Malvern, PA

Full-time

Hybrid

Senior Level

5+ years exp

Vanguard is a company dedicated to the long-term financial wellbeing of its clients. The Compliance Manager will lead a team focused on ensuring compliance with regulatory obligations through monitoring, testing, and inspections, while also preparing reports and providing recommendations for improvement.

FinanceFinancial Services

No H1B

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

Oversees and leads the team in routine monitoring, testing, and inspections, including investigations of alleged noncompliance with applicable laws, regulations and corporate policies. Serves as an advisor to the business, and interfaces regularly with business area stakeholders and internal risk and compliance partners

Prepares written reports and provides recommendations for improvement. Provides guidance to mitigate compliance risks and control gaps

Identifies and gains agreement on corrective action plans for resolution of Compliance Issues. Recommends practices to reduce potential for violations and noncompliance

Manages operational efficiency. Sets measurable goals leveraging internal and external resources accordingly. Reports on the results

Follows approved investigation procedures and reports on corrective actions

Maintains a deep knowledge and awareness of Vanguard, the regulatory environment, and the investment industry. Stays abreast of current market, regulatory and industry relevant news. Serves as an expert and provides guidance to team on compliance related issues

Participates in special projects and performs other duties as assigned

Qualification

Series 7 licenseSeries 24 licenseCompliance experienceRisk managementPassion for learningLeadership experienceProject managementCommunication

Required

Minimum of five years related work experience

Undergraduate degree or equivalent combination of training and experience

This job requires a regulatory licenses Series 7 and 24

Preferred

Supervisory experience preferred

Company

Vanguard

Glassdoor3.7

Check is a client-owned investment company that offers low-cost mutual funds, ETFs, advice, and related services.

Founded in 1975

Kelayres, Pennsylvania, USA

10001+ employees

http://investor.vanguard.com/corporate-portal

Funding

Current Stage

Late Stage

Total Funding

unknown

Key Investors

ic@3401

2017-03-31Non Equity Assistance

Leadership Team

Salim Ramji

Chief Executive Officer

Andrew Maack

Principal, Head of US Equity Index Portfolio Management

Recent News

IndiaTimes

MSTR stock jumps as Vanguard makes first $505 million investment in Strategy

2026-01-20

PR Newswire

Vanguard Appoints Natalie Lamarque as Chief Legal Officer

2025-09-05

citybiz

Vanguard Managing Director Karin Risi to Retire

2025-03-15

Company data provided by crunchbase