Senior Compliance Testing Lead
Vanguard
full-time
Posted on:
Location Type: Hybrid
Location: Charlotte • Arizona • North Carolina • United States
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Job Level
About the role
- Oversees compliance inspections and supports the development, implementation, and maintenance of compliance processes.
- Conducts routine and targeted compliance monitoring and testing across financial services operations.
- Leads investigations of potential violations of ethical standards and noncompliance with applicable laws, regulations, and internal policies.
- Communicates findings to business partners and senior compliance leadership.
- Provides compliance guidance and advisory support to business units.
- Oversees the design, implementation, and maintenance of compliance policies and procedures.
Requirements
- 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.
Benefits
- Health insurance
- 401(k) matching
- Flexible work hours
- Paid time off
- Professional development opportunities
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
compliance monitoringcompliance testingcompliance processescompliance policiesRegulation ERegulation CCNACHA rulesFINRA oversightcompliance testing frameworks
Soft skills
analytical skillswriting skillsstakeholder engagement
Certifications
CRCM