Senior Compliance Director, Products and Funds

The Senior Compliance Director, Products and Funds provides strategic leadership and direction on the design and management of Vanguard's mutual funds, ETFs, institutional products, and new product offerings. Successful applicants will have experience with 1940 Act products, portfolio oversight, and global regulations impacting investment management. Prior experience with private funds is a plus. Candidates should demonstrate a strong track record of building effective relationships with business partners, including product development, business operations, and portfolio managers and traders, to drive robust compliance risk management. This role reports to the Head of Global Fund, Advisor, and Distribution Compliance and is a senior leader within the Compliance Department.

Job Description

• Lead strategic compliance consultation related to business initiatives and new product launches. Primary responsibility for analysis and management of compliance obligations relating to Vanguards products and funds. Serve as subject matter expert for compliance issues relating to 1940 Act products, exchange-traded funds, and other products, including development of relevant policies, procedures, and control frameworks. Provide compliance guidance on compliance issues stemming from product development, business strategy, and operations.

• Engage with business partners to assess, prioritize, and mitigate risks, requirements, and other considerations for new products. Advise on regulations impacting product development; ensure regulatory requirements are understood and controls and operating environments are designed to meet regulations and industry standards.

• Determine and document/communicate key data and operational requirements of new product initiatives and fund implementations, including partnering closely with operational teams, as well as colleagues in risk management, legal, information technology, and customer support teams.

• Participate in governance activities related to product/fund development, implementation, and ongoing oversight. Develop and maintain product compliance reporting tools, such as dashboards, metrics, OKRs, etc. Communicate status of product initiatives and issues to key stakeholders and senior leadership.

• Hire, evaluate, and supervise crew. Provide guidance and training to develop crew, set performance standards, review performance, and makes informed compensation decisions in accordance with all applicable Human Resources policies and procedures.

• Provide strategic leadership to a team of compliance professionals. Direct compliance activities, including compliance monitoring, testing, and reporting related to Vanguard's registered products, shareholder accounts, and registered investment advisors. Oversee investigations of alleged violations of Vanguard's ethical standards and noncompliance with applicable laws, regulations, and corporate policy issues. Partner with senior business leaders and stakeholders to provide advice and ensure compliance with regulatory requirements.

• Lead the development of compliance policies and procedures and partner with business leaders to oversee the implementation of compliance standards and practices.

• Serve as a champion of compliance initiatives, remaining up-to-date on the regulatory landscape, internal projects/improvements, and industry best practices. Drive the identification and development of corrective action plans to resolve problematic compliance issues. Develop strategies and practices to reduce potential for violations and noncompliance.

• Set standards and metrics for operational efficiency. Develop and delivers required reporting on compliance audits to business leaders.

• Maintain an expert knowledge and awareness of the investment industry. Stays abreast of current market, regulatory and industry relevant news. Serve as an expert and key resource related to compliance issues. Utilize deep expertise to lead a team and develop a response to complex compliance related issues.

• Participates in special projects and performs other duties as assigned

Qualifications

• Minimum of eight years related work experience with at least five years in compliance, legal, risk, or a related role. Supervisory experience preferred.

• 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 missionwe'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

Vanguards 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 diverseone 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 progressfrom 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, were on a mission. We are fueled by the value of diverse voices and connected through friendships and a culture of carefor our clients, our communities, and each other.

Vanguards 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.