Chief Compliance Officer, Fund Compliance

Welcome to Vanguard, where we are committed to providing our clients with exceptional investment services and upholding the highest standards of compliance. As the Chief Compliance Officer for our Fund Compliance team, you will play a critical role in ensuring that our funds operate in accordance with all applicable laws, regulations, and internal policies. We are seeking a driven and highly knowledgeable individual with a strong understanding of the financial industry and a passion for maintaining ethical and compliant practices. If you have a proven track record of success in compliance and a dedication to upholding the integrity of the investment industry, we invite you to join our team as our Chief Compliance Officer.

1. Oversee and manage the compliance operations of the Fund Compliance team at Vanguard.
2. Develop and implement compliance policies and procedures in accordance with all applicable laws, regulations, and internal policies.
3. Conduct regular audits and reviews to ensure adherence to compliance standards and identify areas for improvement.
4. Stay up-to-date on all relevant laws, regulations, and industry trends to ensure Vanguard's compliance practices remain current and effective.
5. Collaborate with other departments and teams within Vanguard to ensure a cohesive and comprehensive compliance strategy.
6. Provide guidance and support to team members on compliance matters and serve as a subject matter expert for all compliance related inquiries.
7. Conduct thorough investigations into any potential compliance violations and take appropriate corrective actions.
8. Lead and participate in training programs for employees to promote a culture of compliance and ethical conduct.
9. Prepare and present reports to senior management and regulatory agencies on compliance activities and findings.
10. Proactively identify potential compliance risks and develop mitigation strategies.
11. Foster a culture of compliance and ethics within the Fund Compliance team and across Vanguard.
12. Represent Vanguard in external compliance-related meetings and maintain positive relationships with regulatory agencies.
13. Continuously evaluate and improve the compliance program to ensure it meets the evolving needs of the organization.
14. Serve as an advocate for ethical and compliant practices within the investment industry.
15. Mentor and develop team members to foster a high performing and knowledgeable compliance team.

According to JobzMall, the average salary range for a Chief Compliance Officer, Fund Compliance in Malvern, PA 19355, USA is $137,000 to $202,000 per year. Salaries can vary based on factors such as years of experience, education level, and specific job responsibilities.

The Vanguard Group, Inc. is an American registered investment advisor based in Malvern, Pennsylvania, with about $7.7 trillion in global assets under management, as of April 2023. It is the largest provider of mutual funds and the second-largest provider of exchange-traded funds in the world after BlackRock's iShares.