Vanguard · 22 hours ago
Compliance Manager, Head of Workplace & Advisor Solutions Monitoring & Testing
Charlotte, NC
Full-time
Hybrid
Senior Level
5+ years expVanguard is a leading investment management company committed to the long-term financial wellbeing of its clients. The Compliance Manager will lead a team to ensure compliance with regulatory obligations, oversee monitoring and testing activities, and work closely with business partners to mitigate compliance risks.
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
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
Check is a client-owned investment company that offers low-cost mutual funds, ETFs, advice, and related services.
Founded in 1975Kelayres, Pennsylvania, USA
10001+ employees
Funding
Current Stage
Late StageTotal Funding
unknownKey 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
2026-01-20
2025-09-05
2025-03-15
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