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Vanguard · 12 hours ago

Head of Ethics and Conduct Compliance

Malvern, PA

Full-time

Hybrid

Director/Executive

10+ years exp

Vanguard is a company dedicated to the long-term financial wellbeing of its clients, and they are seeking a Head of Ethics and Conduct Compliance. This role involves leading a team to implement a culture of compliance, ensuring adherence to ethical standards and regulatory requirements while providing guidance on complex compliance issues.

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

Provides leadership and oversight for team operations related to monitoring and advisory activities

Directs implementation of policies and procedures for the general operation of Vanguard's Code of Ethical Conduct and associated policies

Manages and consults on the design, implementation, execution, and maintenance of new ethics and conduct standards and enterprise-wide training on those standards

Oversees investigations of alleged violations of Vanguard's ethical standards and non-compliance with applicable laws, regulations and corporate policies. Addresses and advises on highly complex or sensitive ethical matters

Provides guidance to mitigate compliance risks and control gaps

Oversees the design, implementation, execution, and maintenance of compliance policies and procedures related to Vanguard's Code of Ethical Conduct and related policies. Supports the development of new compliance standards

Develops strategic solutions for resolution of higher-profile and problematic issues. Recommends practices to reduce potential for violations and noncompliance

Maintains expert knowledge and awareness of 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

Compliance expertiseRegulatory knowledgeEthics program implementationSupervisory experiencePolicy developmentAdvisory skillsLeadershipCommunication skills

Required

Undergraduate degree or equivalent combination of training and experience

Minimum ten years related work experience, including supervisory experience

Preferred

Graduate degree preferred

Regulatory, compliance, or auditing 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