Compliance Manager, Head of Workplace & Advisor Solutions Monitoring & Testing

Vanguard is seeking a Compliance Manager, Head of Workplace & Advisor Solutions Monitoring & Testing to join our team in Malvern, PA. This full-time position focuses on designing, implementing, and overseeing compliance monitoring and testing programs within our workplace and advisor solutions divisions.

What This Role Involves

As Compliance Manager, you will lead the compliance monitoring and testing function for Vanguard's workplace and advisor solutions business units. This role combines strategic compliance planning with hands-on oversight of monitoring activities, ensuring our operations meet all applicable regulatory requirements and internal governance standards. You'll be instrumental in identifying compliance risks, designing testing frameworks, and ensuring the effectiveness of our monitoring controls across assigned business areas.

Key Responsibilities

• Develop and implement comprehensive compliance monitoring and testing strategies for workplace and advisor solutions
• Oversee the design and execution of testing programs to assess adherence to regulatory requirements and company policies
• Identify compliance gaps, control deficiencies, and areas of operational risk within assigned business units
• Collaborate with business leaders and subject matter experts to develop remediation plans and corrective actions
• Prepare compliance reports, metrics, and documentation for management and regulatory stakeholders
• Communicate compliance requirements, test results, and policy updates to relevant teams
• Monitor regulatory developments and adjust compliance frameworks accordingly
• Support audit activities and regulatory examinations as needed

What You Bring

• Professional experience in compliance, risk management, or related regulatory functions
• Strong knowledge of financial services regulations and workplace compliance requirements
• Demonstrated project management and testing design skills
• Ability to analyze complex regulatory requirements and translate them into practical control frameworks
• Excellent written and verbal communication skills with ability to explain compliance concepts to diverse audiences
• Attention to detail and commitment to accuracy in compliance documentation
• Proficiency with compliance tools, data analysis, and documentation systems
• Bachelor's degree in finance, business, law, or related field, or equivalent professional experience

About the Company

Vanguard is a global leader in investment management, financial advisory, and retirement services, serving millions of investors worldwide. Based in Malvern, Pennsylvania, Vanguard is committed to building a workplace where compliance, integrity, and regulatory excellence support our mission to help clients achieve their financial goals.

How to Apply

To apply, complete your application directly on this page, or you'll be redirected to the employer's application platform to finish submitting there.