Compliance Director-Technology

This Compliance Director will play a critical role in the Vanguard Enterprise Compliance Program with specific responsibility for Vanguard’s Technology, Cyber Security, Information Security, and Artificial Intelligence (“TCIA”) Compliance Programs.  

This role encompasses a broad spectrum of duties that include establishing and maintaining the TCIA’s governance frameworks to ensure that policies and practices are aligned with business objectives and regulatory requirements. This individual will be instrumental in identifying, evaluating, and mitigating Compliance Risk and leading the development of regulatory risk management strategies and compliance activities, ensuring that Vanguard’s TCIA posture is robust and resilient against emerging threats. As a key advisor to senior management, they will provide insights and recommendations on TCIA related trends, best practices, and regulatory changes that may impact Vanguard. They will also be responsible for fostering a culture of compliance throughout the organization. 

This role requires a visionary leader with a deep understanding of Technology, Cyber Security, Information Security, and Artificial Intelligence principles, risk management industry practices, and compliance frameworks. The ideal candidate will possess strong communication and leadership skills, the ability to navigate complex regulatory landscapes, and a commitment to continuous improvement in the face of a rapidly evolving regulatory and business environments. 

What We Value: 

• An experienced compliance professional with a proven track record of managing impactful Compliance Programs and a deep understanding of compliance principles, frameworks, and processes.    

• A strong and supportive partner to business management and corporate functions, advising and guiding on best practices to managing TCIA regulatory risk. 

• A strategic thinker who can drive alignment across diverse stakeholders while maintaining clear focus on organizational objectives. 

• A subject matter expert who understands the complexities of the regulations and standards related to Technology, Cyber Security, Information Security, and Artificial Intelligence and can translate them into actionable strategies. 

• A leader who anticipates challenges, navigates complex issues and drives effective resolutions. 

Core Responsibilities:  

• Track, manage, and maintain an inventory of regulatory obligations, consistent with program framework and in centralized Compliance systems.  

• Advise business partners on how to navigate regulatory requirements and provide thought leadership on the implementation of regulations; as needed, delivering compliance education and training to business partners on the impact of regulatory obligations.  

• Maintain and revise policies and procedures for the general operation of the compliance program and its related activities. Oversees the design, implementation, execution, and maintenance of new compliance standards.  

• Execute advisory and monitoring activities to assess strength of regulatory posture, documenting, tracking, and driving the resolution of compliance issues. 

• Identify and discuss top compliance risks with business management and provide regular reporting on strength of regulatory posture. 

• Proactively drive business ownership of Compliance Issues, including root cause analysis and resolution. Identify and implement corrective action plans for resolution of complex, compliance issues. 

• Foster a culture of compliance with business line ownership of Compliance Risk.  

• Manages and evaluates operational efficiency. Sets measurable standards leveraging internal and external resources accordingly. 

• 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. 

• Participates in special projects and performs other duties as assigned. 

Qualifications & Experience:  

• 10+ Years of experience in compliance, risk, and / or governance program management, with significant exposure to the Technology, Cyber Security, Information Security, and Artificial Intelligence domains.   

• Deep knowledge of Technology, Cyber Security, Information Security, and Artificial Intelligence regulations, standards, and frameworks. 

• Demonstrated expertise in managing governance structures, regulatory compliance efforts and issue tracking systems such as Archer. 

• Proven leadership experience with the ability to build and manage high performing teams. 

• Strong record of success achieving business objectives, growth, and efficiencies. 

• Demonstrated strong problem-solving and analytical skills is critical. 

• Ability to work within tight time constraints and multiple priorities. 

• Excellent verbal and written communication skills. 

• Excellent interpersonal skills, teamwork, and collaboration. 

• Undergraduate degree or equivalent combination of training and experience.  

Special Factors

Sponsorship

Vanguard is not offering visa sponsorship for this position.

About Vanguard

At Vanguard, we don't just have a mission—we're on a mission.

To work for the long-term financial wellbeing of our clients. To lead through product and services that transform our clients' lives. To learn and develop our skills as individuals and as a team. From Malvern to Melbourne, our mission drives us forward and inspires us to be our best.

Our commitment to diversity, equity, and inclusion

Vanguard’s commitment to diversity, equity, and inclusion (DEI) is central to our ability to deliver on our mission. We aspire to create a work environment that is inclusive, equitable, and diverse—one that enables our employees, whom we call crew, to thrive and bring their best selves to work every day on behalf of our clients.

Cultivating DEI lifts our entire organization, and everyone shares accountability for our progress—from our senior leaders who lay the foundation and set the example for inclusive behaviors to crew who are growing in their personal DEI learning experiences.

Together, we’re on a mission. We are fueled by the value of diverse voices and connected through friendships and a culture of care—for our clients, our communities, and each other.    

Vanguard’s DEI journey has no finish line. Our commitment is enduring, and we remain focused on the path ahead. To learn more about Vanguard goals and progress toward DEI, download our Diversity, Equity, and Inclusion Report.

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.