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Vanguard · 2 hours ago

Sr Compliance Testing Lead

Charlotte, NC

Full-time

Hybrid

Senior Level

5+ years exp

Vanguard is a company dedicated to the long-term financial wellbeing of its clients. In this role, you will oversee compliance inspections and support the development, implementation, and maintenance of compliance processes and monitoring functions.

FinanceFinancial Services

No H1B

Responsibilities

Conducts routine and targeted compliance monitoring and testing across financial services operations, with a focus on cash products and money movement. Applies knowledge of relevant regulations (e.g., Regulation E, Regulation CC, NACHA) to assess control effectiveness and identify gaps

Leads investigations of potential violations of Vanguard’s ethical standards and noncompliance with applicable laws, regulations, and internal policies. Collaborates with internal stakeholders to ensure timely resolution and documentation

Prepares clear and actionable inspection and assessment reports, including root cause analysis and recommendations for remediation. Communicates findings to business partners and senior compliance leadership

Provides compliance guidance and advisory support to business units, helping to mitigate risk and strengthen control environments. Advises on regulatory implications of new products and operational changes

Oversees the design, implementation, and maintenance of compliance policies and procedures, ensuring alignment with evolving regulatory expectations and industry best practices

Identifies and implements corrective action plans for areas of noncompliance or control weakness. Recommends proactive measures to reduce future risk exposure

Manages operational efficiency of compliance testing programs, including setting measurable goals, tracking performance, and leveraging internal and external resources to optimize outcomes

Follows approved monitoring and testing procedures, ensuring consistency, accuracy, and documentation of results. Escalates issues as appropriate and tracks corrective actions to closure

Maintains deep knowledge of the investment and financial services industry, with a focus on broker-dealer operations and banking-like features. Monitors regulatory developments and market trends to inform compliance strategy

Serves as a subject matter expert and liaison to regulatory agencies, internal audit, and risk partners. Supports regulatory exams and inquiries with timely and thorough responses

Participates in special projects and enterprise initiatives, contributing compliance expertise to cross-functional efforts and strategic priorities

Qualification

Regulation ERegulation CCNACHA rulesFINRA oversightCRCM certificationCompliance testing frameworksAnalytical skillsStakeholder engagementWriting skills