Senior Director – Head of Financial Crimes Compliance
| Company | Vanguard |
|---|---|
| Location | Malvern, PA, USA, Charlotte, NC, USA, Scottsdale, AZ, USA |
| Salary | $Not Provided – $Not Provided |
| Type | Full-Time |
| Degrees | Bachelor’s, JD |
| Experience Level | Expert or higher |
Requirements
- Undergraduate degree required; graduate degree preferred, JD ideal.
- 10+ years experience working in financial crimes compliance or legal function
- Experience in the securities industry, including asset management or broker dealer/investment adviser
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.
- Serves as a subject matter expert and provides leadership and oversight Financial Crimes operations related to utilizing Data Analytics to improve detection scenarios and assist in uncovering networks and supporting investigations.
- Designs, oversees and consults on the design, implementation, execution, and maintenance of new compliance standards, policies and procedures.
- Provides strategic Financial Crimes compliance support for business initiatives and regulations, works collaboratively with all business leaders and other impacted departments, and coordinates efforts across stakeholder groups to analyze and assess readiness for change.
- Manages and oversees the review and analysis of internal due diligence reports and alerts. Resolves exceptions, including highly complex issues escalated by the team.
- Oversees the preparation and submission of required internal and external reporting in accordance with departmental policies and regulatory guidelines.
- Oversees corrective action plans for resolution of complex, problematic issues. Recommends practices to reduce potential for violations and noncompliance related to Vanguard’s financial crimes compliance program.
- Maintains expert knowledge and awareness of the investment industry and compliance developments with implications for Vanguard’s financial crimes program. Stays abreast of current market, regulatory and industry relevant news. Serves as the senior expert and consultant related to compliance issues. Utilizes expertise to provide guidance and leadership on complex compliance related issues. Acts as a liaison to regulatory agencies.
- Stays abreast of regulatory developments. Provides oversight and direction for internal and communications, including the effective and timely communication with the business and other stakeholders. Serves as a trusted advisor to consult with business leaders on the potential impact.
- Leads the training and development of junior staff within the department.
- Participates in special projects and performs other duties as assigned.
Preferred Qualifications
-
No preferred qualifications provided.