In this role, you will oversee compliance inspections and support the development, implementation, and maintenance of compliance processes as well as compliance monitoring functions.

You will serve as a trusted advisor to the business and provides guidance and oversight of regulated activities.

The ideal candidate must demonstrate and have a strong understanding of Regulation E, Regulation CC, NACHA rules, FINRA oversight and may hold and active CRCM.

If you thrive in a fast-paced, precision-driven environment and are passionate about protecting investors while enabling innovation, we invite you to shape our compliance strategy and elevate our client experience.

Responsibilities

• Conducts routine and targeted compliance monitoring and testing across financial services operations, with a focus on cash products and money movement. Applies knowledge of relevant regulations (e.g., Regulation E, Regulation CC, NACHA) to assess control effectiveness and identify gaps.

• Leads investigations of potential violations of Vanguard’s ethical standards and noncompliance with applicable laws, regulations, and internal policies. Collaborates with internal stakeholders to ensure timely resolution and documentation.

• Prepares clear and actionable inspection and assessment reports, including root cause analysis and recommendations for remediation. Communicates findings to business partners and senior compliance leadership.

• Provides compliance guidance and advisory support to business units, helping to mitigate risk and strengthen control environments. Advises on regulatory implications of new products and operational changes.

• Oversees the design, implementation, and maintenance of compliance policies and procedures, ensuring alignment with evolving regulatory expectations and industry best practices.

• Identifies and implements corrective action plans for areas of noncompliance or control weakness. Recommends proactive measures to reduce future risk exposure.

• Manages operational efficiency of compliance testing programs, including setting measurable goals, tracking performance, and leveraging internal and external resources to optimize outcomes.

• Follows approved monitoring and testing procedures, ensuring consistency, accuracy, and documentation of results. Escalates issues as appropriate and tracks corrective actions to closure.

• Maintains deep knowledge of the investment and financial services industry, with a focus on broker-dealer operations and banking-like features. Monitors regulatory developments and market trends to inform compliance strategy.

• Serves as a subject matter expert and liaison to regulatory agencies, internal audit, and risk partners. Supports regulatory exams and inquiries with timely and thorough responses.

• Participates in special projects and enterprise initiatives, contributing compliance expertise to cross-functional efforts and strategic priorities.

Qualifications

• Minimum 5 years of compliance experience in financial services, with at least 2 years in broker-dealer or banking-like operations.

• Proven experience in Regulation E, Regulation CC, NACHA rules, and FINRA oversight 

• An active CRCM is highly desirable

• Strong analytical, writing, and stakeholder engagement skills.

• Experience designing and executing compliance testing frameworks.

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.

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.