Senior Compliance Director – Regulatory Engagement, Policy Governance

Vanguard

Senior Compliance Director at Vanguard providing strategic leadership for compliance policy governance and regulatory engagement. Managing interactions with regulators and leading a compliance-focused team.

Posted 5/5/2026full-timeMalvern • North Carolina, Pennsylvania • 🇺🇸 United StatesSeniorWebsite

About the role

Key responsibilities & impact

Provides enterprise-wide strategic leadership for Vanguard’s regulatory engagement program and Compliance Policy Governance Framework
Establishes program standards, governance, and oversight for regulator interactions and exam management
Owns the operating model and data discipline for logging and tracking regulatory interactions in the designated system of record
Leads the design and continuous enhancement of a controlled, risk-based, and auditable policy governance framework
Partners with the Global Head of Enterprise Compliance & Governance and key stakeholders to monitor evolving regulatory requirements
Builds and leads a team responsible for regulatory engagement execution and compliance policy governance
Sets the strategy and operating model for Vanguard’s regulatory engagement program
Directs execution of regulatory engagements from intake through close-out
Partners with Legal, Government Public Policy, Risk, and business leaders to align messaging
Establishes and maintains dashboards and reporting to provide transparency into engagement volumes and emerging risks

Requirements

What you’ll need

Minimum of eight years related work experience with at least five years in compliance
Demonstrated experience engaging with regulators and managing regulatory interactions within a financial services firm
Supervisory experience preferred
Law degree preferred but not required
Demonstrated experience developing, revising, and governing enterprise policies/standards, including maintaining policy inventories/taxonomies and ensuring strong documentation and evidence of oversight
Excellent written and verbal communication skills, with the ability to engage with regulators, senior management, and internal teams
Strong analytical and problem-solving skills to assess risk and provide strategic solutions
Strong attention to detail to manage complex regulatory reporting and documentation requirements.

Benefits

Comp & perks

Flexible working arrangements
Professional development opportunities

ATS Keywords

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Hard Skills & Tools

regulatory engagementcompliance policy governancepolicy governance frameworkregulatory interactions managementpolicy developmentrisk assessmentregulatory reportingdocumentation managementdata disciplineoversight

Soft Skills

strategic leadershipteam buildingcommunicationanalytical skillsproblem-solvingattention to detailstakeholder engagementcollaborationexecutive communicationsupervisory skills

Certifications

law degree