Compliance Director, Retail Advice

Job description

Financial integrity from the inside out Vanguard'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. In support of our innovative, multi-faceted and highly regulated business lines, Vanguard's Advice Products and Services team encounters a wide range of complex and compelling issues while providing exceptional, high-value business partnership and compliance support. To support its growing and evolving service offerings, Vanguard seeks a highly skilled senior compliance professional to lead a compliance team supporting our advice service businesses and trust services business. The ideal candidate will have strong, practical knowledge of the Investment Advisers Act of 1940 and the Employee Retirement Income Security Act of 1974 (ERISA), as well as knowledge and understanding of Office of the Comptroller of Currency (OCC) regulations, and a minimum of 8 years of supporting retail and retail investment advice / wealth management businesses. Broad knowledge of advisory, banking, and trust company regulations will complement the required skills. Responsibilities: - Partner with business leaders on the design...