Compliance Director, Sales & Client Engagement

Vanguard Job Opportunity

183140

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Compliance Director, Sales & Client Engagement

Location(s) Charlotte, NC, US; Scottsdale, AZ, US; Malvern, PA, US

Work model Hybrid

Date posted October 15, 2026

Job requisition 183140

Job description

Benefits and rewards

Are you a strategic thinker who enjoys solving complex problems, influencing business decisions, and helping teams navigate an evolving regulatory environment? We are seeking a Compliance Director, Sales & Client Engagement to provide strategic compliance guidance across Vanguard's Financial Advisor Services (FAS) and Workplace businesses.

This is an exciting opportunity to work at the intersection of sales practices, supervision, and regulatory risk management. The successful candidate will serve as a trusted advisor to business leaders, provide thoughtful challenge and practical guidance, and help translate regulatory expectations into solutions that enable responsible business growth. The role will also contribute to the continued evolution of Vanguard's supervisory framework and support key strategic initiatives across two important businesses.

If you enjoy connecting the dots across complex issues and want the opportunity to shape regulatory risk management practices as a member of Brokerage, Advice and Wealth Management (BAWM) Compliance. This role offers a unique opportunity to make an impact.

Responsibilities

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

Qualifications

• Minimum of eight years related work experience.

• Undergraduate degree or equivalent combination of training and experience.

• Licensing: Series 7 and Series 64 licenses required or the ability to obtain.

• 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.

• Our commitment to you

• Vanguard takes the same long-term view of your success—at work and in life—with Benefits and Rewards packages that reflect what you care about, throughout all the phases and stages of your life.

Our Total Rewards programs provide you and your loved ones with wellness support for key areas in your life:

• Financial wellness

• We're committed to enabling your financial success and provide competitive offers and programs.

• Physical wellness

• We're committed to providing benefits that support your physical health and wellness.

• Personal wellness

• We're committed to providing resources that help support the full scope of your life.

• Learn more about our complete benefits and rewards package

• Our commitment to equal employment opportunity

• Vanguard is an equal opportunity employer. Vanguard is committed to providing all crew members a working environment that is free from discrimination, prejudice and bias. Through this Equal Employment Opportunity (EEO) Policy, Vanguard reaffirms its commitment to equal employment opportunity for all applicants and crew members without regard to race, color, national origin or ancestry, religion, gender, sex, sexual orientation, gender identity or expression, age, disability, marital status, veteran or military status. In addition, Vanguard prohibits discrimination based on genetic information, as well as any other characteristic protected by federal, state or local law.

• Applicants with disabilities may be entitled to reasonable accommodation under the Americans with Disabilities Act and certain state or local laws. A reasonable accommodation is a change in the way things are normally done which will ensure an equal employment opportunity without imposing undue hardship on Vanguard. Please inform careers at Vanguard if you need assistance completing this application or to otherwise participate in the application process.

• A culture of care and respect

• Culture and Wellness

• Diversity, equity, and inclusion

• Having a diverse community is part of how we deliver on our mission to take a s