Vanguard

Vanguard

Advice Supervision Director

Dallas/Ft · Director

Sponsorship not specifiedDetected 14 days ago
ComplianceCollaboration

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odds of building a lasting career here

36Risky
Cap-exempt (no lottery)0
Sponsors this role75
Entry-level history0
PERM / green-card track0
Lottery odds40
Fits your clock70

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About the role

  • Evaluates and communicates operational efficiency and effectiveness of compliance programs.
  • Sets measurable standards leveraging internal and external resources accordingly.
  • Serves as an expert and key resource related to compliance programs and regulatory matters relevant to business operations.

Responsibilities

  • Develops, implements and maintains an effective compliance program for advice business activities, services and products.
  • Partners with business leaders and stakeholders to provide advice and ensure compliance with regulatory requirements.
  • Leads support of regulatory visits, exams, inquiries and complex investigations within the business.
  • Identifies and implements corrective action plans for resolution of complex, problematic issues.
  • Participates in special projects and performs other duties as assigned.

Requirements

  • Undergraduate degree or equivalent combination of training and experience.
  • For this role it has been determined the Series 7, Series 63, and Series 24 will be required.
  • Minimum of eight years related work experience. Supervisory experience preferred.
  • This job requires a regulatory license and/or registration (e.g. FINRA, state, SFC). These will be determined by Compliance based on role-specific duties. For this role it has been determined the Series 7, Series 63, and Series 24 will be required.
  • 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.

Nice to have

  • Supervisory experience preferred.

Company info

  • About Vanguard At Vanguard, we don't just have a mission-we're on a mission.

Visa & Work Authorization

  • Vanguard is not offering visa sponsorship for this position.
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This listing is sourced directly from Vanguard's careers page and normalized into a canonical job model.