John Goodman
Downingtown,PA
Summary
Dynamic marketing and compliance leader with extensive experience, driving regulatory excellence and highly visible content review. Proven track record in enhancing compliance programs and documenting decisions. Adept at managing audits and inspections while fostering strong client relationships, ensuring adherence to complex regulations and policies.
Overview
19
19
years of professional experience
Work History
Director - Head of MarComm Compliance
Vanguard
Malvern, PA
06.2024 - Current
- Lead marketing and advertising review function across various business lines, which includes a fifteen person organization
- Consulted and approved public-facing AI use cases as a subject matter expert and key member of the governance process
- Present regulatory updates, relevant metrics, and trends to divisional CMOs to highlight focus areas
- Implemented workflow improvements using technology solutions and AI tools as well as manage vendor relationships
Senior Compliance Advisor
Vanguard
Malvern, PA
05.2020 - 05.2024
- Led expansion of Compliance program for new digital offers and advice services which involved learning new regulations
- Managed various compliance inspections, regulatory exams, and collaborated with stakeholders on required remediation
- Facilitated risk assessments and evaluation of regulatory controls for all advice offers to highlight top risks
- Worked directly with the CCO and Legal Counsel on public regulatory filings and board reporting
Senior Analyst (Advertising Compliance)
Vanguard
Malvern, PA
04.2012 - 04.2020
- Influenced global advertising projects and campaigns from an idea into production
- Delivered compliance focused trainings to senior management and large groups
- Formally reviewed various forms of critical communications that have a global audience and heightened regulatory scrutiny
Client Relationship Roles
Vanguard
Malvern, PA
05.2006 - 04.2012
- Educated brokerage clients regarding complex options due to Corporate Actions
- Gained experience in having difficult conversations and problem resolution
Education
MBA - Strategic Management
Villanova University
Villanova, PA01-2023
Bachelor of Science - Marketing
James Madison University
Harrisonburg, VA01-2005
Certifications:
Skills
Regulatory issue tracking
Audit and inspection leadership
Policy and procedure drafting
Risk remediation strategies
Training development and delivery
Risk framework development
Professional Affiliations
Vanguard MarComm Divisional AI Governance Panel
NormAI Customer Advisory Board
Timeline
Director - Head of MarComm Compliance
Vanguard
06.2024 - Current
Senior Compliance Advisor
Vanguard
05.2020 - 05.2024
Senior Analyst (Advertising Compliance)
Vanguard
04.2012 - 04.2020
Client Relationship Roles
Vanguard
05.2006 - 04.2012
MBA - Strategic Management
Villanova University
Bachelor of Science - Marketing
James Madison University
Certifications:
Similar Profiles
Daniel FyermanDaniel Fyerman
Client Relations Specialist at VanguardClient Relations Specialist at Vanguard
Kathleen KercherKathleen Kercher
Travel Security Program Manager at VanguardTravel Security Program Manager at Vanguard
Deanne DraytonDeanne Drayton
Client Service Representative at VanguardClient Service Representative at Vanguard
Marjahan AkhterMarjahan Akhter
Security Guard at VanguardSecurity Guard at Vanguard
Brianna RossiBrianna Rossi
Lifeguard at Camp Liden- Philadelphia Ethical SocietyLifeguard at Camp Liden- Philadelphia Ethical Society