Compliance Manager reviewing broker - dealer and registered investment adviser communications for regulatory compliance. Working collaboratively with diverse business partners in a hybrid work environment.
About the role
- Head of Regulatory Disclosures to lead and ensure accurate regulatory filings at Vanguard. Oversee end-to-end fund disclosures process and manage risks in a collaborative environment.
Responsibilities
- Lead, advise, and provide assurance across the end-to-end fund disclosures process
- Manage disclosure-related risks and resolve issues
- Develop and direct implementation of policies and procedures
- Provide leadership and technical expertise to disclosure specialists
- Develop and maintain effective working relationships across Vanguard
- Monitor regulatory developments and industry trends
- Participate in special projects and perform other duties as assigned
- Hires, evaluates, and supervises crew
Requirements
- Strong experience in financial services
- Strong legal or regulatory disclosure experience
- Team management experience preferred
- Knowledge of European fund disclosure requirements
- Undergraduate degree or equivalent combination of training and experience
- Graduate degree preferred
- Strong verbal and written communication skills
- Excellent judgment and proven ability to analyze issues quickly
- Strong project management skills and experience preferred
- Strong work ethic
Benefits
- Hybrid working model
- Health insurance
- Professional development opportunities
Job title
Job type
Experience level
Salary
Not specified
Degree requirement
Location requirements
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