Regulatory Exam & Inquiry Specialist

Vanguard has an exciting opportunity for a Compliance Specialist. This role is an individual contributor that is responsible for collaborating with business partners to respond to regulatory inquiries and exam requests.  This team manages and oversees interactions with regulatory agencies to ensure that Vanguard is positioned to mitigate regulatory risk. The role will provide opportunities for cross-departmental project participation and will work across various teams and build relationships with senior stakeholders. 

Regulatory, compliance, and business acumen are necessary for this position. 

Compliance mission and vision:

• Mission - Design and implement dynamic, scalable compliance programs that guide and support Vanguard in achieving its mission.
• Vision - To inspire and cultivate a culture of compliance that enables Vanguard crew to do the right thing, every time.

Responsibilities:

• Manage regulatory outreach, onsite visits, exams, inquiries, and investigations within the business.
• Serve as an experienced advisor to the business, and interface regularly with senior leaders, business unit stakeholders, and compliance partners.
• Meet with business partners to gather facts and information to respond to regulatory requests and inquiries.
• Draft and prepare clear and concise responses to regulatory requests.
• Develop, establish, and maintain relationships with business stakeholders.
• Create regular and insightful business reports to track regulatory trends.
• Manage operational efficiency. Set measurable standards leveraging internal and external resources accordingly.
• Serve as an expert on regulatory related issues.
• Participate in special projects and perform other duties as assigned.

Requirements:

• Clear and concise written and verbal communication skills
• Able to work independently, navigate ambiguity and apply critical thinking to complex matters.   
• Ability to apply situational judgment and decision-making authority.   
• Develop and manage business partner relationships.
• Is proactive, organized, and outcome driven.
• Minimum of five years related work experience, with a focus on regulatory interactions with a financial services firm.
• Undergraduate degree or equivalent combination of training and experience.

Special Factors

Sponsorship

Vanguard is not offering visa sponsorship for this position.

About Vanguard

We are Vanguard. Together, we’re changing the way the world invests.

For us, investing doesn’t just end in value. It starts with values. Because when you invest with courage, when you invest with clarity, and when you invest with care, you can get so much more in return. We invest with purpose – and that’s how we’ve become a global market leader. Here, we grow by doing the right thing for the people we serve. And so can you.

We want to make success accessible to everyone. This is our opportunity. Let’s make it count.

Inclusion Statement

Vanguard’s continued commitment to diversity and inclusion is firmly rooted in our culture. Every decision we make to best serve our clients, crew (internally employees are referred to as crew), and communities is guided by one simple statement: “Do the right thing.”

We believe that a critical aspect of doing the right thing requires building diverse, inclusive, and highly effective teams of individuals who are as unique as the clients they serve. We empower our crew to contribute their distinct strengths to achieving Vanguard’s core purpose through our values.

When all crew members feel valued and included, our ability to collaborate and innovate is amplified, and we are united in delivering on Vanguard’s core purpose.

Our core purpose: To take a stand for all investors, to treat them fairly, and to give them the best chance for investment success.

How We Work

Vanguard has implemented a hybrid working model for the majority of our crew members, designed to capture the benefits of enhanced flexibility while enabling in-person learning, collaboration, and connection. We believe our mission-driven and highly collaborative culture is a critical enabler to support long-term client outcomes and enrich the employee experience.