As the Head of Vanguard’s Product, Distribution & Communications (“PD&C”) Compliance function, this role is responsible for ensuring that the company’s mutual funds, products, and institutional distribution activities comply with all applicable laws, regulations, and internal policies. You will provide strategic leadership and direction for a dynamic compliance function, including overseeing teams supporting the creation and oversight of Vanguard’s products, distribution in onshore and offshore markets, and ensuring that Vanguard’s marketing and communication activity is managed in accordance with regulatory requirements. The Head of PD&C serves as a member of the leadership team aligned to Vanguard’s fund and investment advisory oversight activity and is a senior leader with responsibility for 20+ crew within the larger compliance department.
Core Responsibilities:
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.Provides strategic leadership to a team of compliance professionals. Directs compliance activities, including compliance monitoring, and reporting related to Vanguard's business activities. Partners with senior business leaders and stakeholders to provide advice and ensure compliance with regulatory requirements.Provide ongoing compliance oversight of new product launches and product amendments, both for registered products and institutional products/private funds. Serves as advisor to business partners to identify regulatory obligations and structure new products to comply with all relevant obligations.Develops and enforces applicable compliance frameworks/controls for distribution channels and third-party relationships (e.g., broker-dealers, financial advisors, and institutional clients).Monitors and ensures that distribution practices (including sales practices, advertising, marketing, and web communications) comply with relevant regulatory standards.Supports the development of compliance policies and procedures. Partners closely with business leaders to oversee the implementation of compliance standards and practices.Drives the identification and development of corrective action plans to resolve of problematic compliance issues. Develops strategies and practices to reduce potential for violations and noncompliance related to Vanguard's business activities and investment products.Leads strategic compliance support related to business initiatives and key enterprise projects. Performs other duties as assigned.Serves as an expert and key resource related to compliance issues. Utilizes deep expertise to lead a team and develop a response to complex compliance related issues.
Qualifications:
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.