Financial integrity from the inside outVanguard’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. Known for our strong ethical business practices and client focus, Vanguard has a vibrant and multi-faceted business. In support of our innovative 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. 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.To support its growing and evolving service offerings, Vanguard is seeking a highly skilled senior compliance professional to lead strategic compliance support related to business initiatives and new product launches. The ideal candidate will have Investment Advisers Act, Regulation Best Interest experience, including experience with ERISA/DOL retirement account servicing, and a minimum of 8 years of supporting retail and retail investment advice / wealth management businesses. Broad knowledge of broker-dealer, banking, and trust company regulations will complement the required skills.
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