Code of Ethical Conduct Senior Specialist, Personal Trading Compliance

The Vanguard Group • Scottsdale, AZ

411d • Hybrid

About The Position

The position involves overseeing employee personal trading activities and ensuring compliance with regulatory standards. The role requires managing operational procedures, conducting investigations into alleged violations, and developing compliance policies. The individual will also perform internal audits, maintain communication with compliance vendors, and provide guidance to senior leadership on compliance matters. Additionally, the role includes delivering training and staying updated on industry regulations and trends.

Requirements

• Minimum five to seven years related work experience.
• Regulatory, compliance, or auditing experience preferred.
• Maintains thorough knowledge of the investment industry.
• Undergraduate degree or equivalent combination of training and experience.

Nice To Haves

• Proficient in Microsoft Suite, including Microsoft Excel (writing/applying formulas, aggregating large data sets, pivot tables, etc.)
• FINRA Series 7 and/or 24 a plus.
• Experience with UI Path/Citizen Developer a plus.
• Experience with PowerBi/PowerApps a plus.

Responsibilities

• Oversees employee personal trading activity, underlying policies, and operational procedures.
• Manage and oversee receipt and processing of paper statements as well as electronic feeds.
• Leads investigations of alleged violations, resolves complex matters, and escalates issues when appropriate.
• Establishes oversight and operating policies and procedures.
• Develops and writes new compliance policies and procedures related to Vanguard's Code of Ethical Conduct, Access Person Code of Conduct, and other supporting policies.
• Performs regular internal audits of all operational aspects to ensure proper due diligence for regulatory purposes, including data feed audits, fund trade audits, ethical walls, employee personal accounts audits, and trade rules.
• Maintains regular and consistent communication with compliance vendor (MyComplianceOffice) regarding operations and issue management/reporting.
• Researches potential issues, determines scope, and communicates potential regulatory impact.
• Recommends practices to reduce potential for violations and noncompliance.
• Serves as a consultant to the business and senior leadership, providing advice and guidance for higher complexity matters.
• Identifies and tracks key measures, metrics, and trends for compliance and reporting.
• Proposes new measurement and research practices and presents key findings and recommendations to senior management.
• Develops and delivers compliance training and education to crew members and leaders.
• Maintains thorough knowledge of the investment industry and stays abreast of current market, regulatory, and industry relevant news.
• Acts as a liaison to regulatory agencies and participates in special projects.

Benefits

• Hybrid work schedule (in office Tuesday, Wednesday, Thursday).

What This Job Offers

• Job Type: Full-time
• Industry: Securities, Commodity Contracts, and Other Financial Investments and Related Activities
• Education Level: Bachelor's degree