Business Unit & Product Compliance Analyst, Specialist (Remote)
About The Position
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.
Requirements
- Minimum of five years related work experience, with at least two years within a financial services compliance function.
- Undergraduate degree or equivalent combination of training and experience.
Responsibilities
- Serves as an experienced advisor to the business, and interfaces regularly with business unit stakeholders and internal risk and compliance partners
- Manages regulatory visits, exams, inquiries and investigations within the business. Provides guidance to mitigate compliance risks and control gaps.
- Oversees the design, implementation, execution, and maintenance of compliance policies and procedures. Supports the development of new compliance standards.
- Identifies and implements corrective action plans for resolution of problematic issues.
- Manages operational efficiency. Sets measurable standards leveraging internal and external resources accordingly.
- Serves as an expert on compliance related issues.
- Participates in special projects and performs other duties as assigned.
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
