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.
- Undergraduate degree or equivalent combination of training and experience.
Nice To Haves
- Regulatory, compliance, investment, or auditing experience preferred.
Responsibilities
- Oversees routine monitoring and inspections. Leads investigations of alleged violations of Vanguard's ethical standards and noncompliance with applicable laws, regulations and corporate policy issues. Serves as an advisor to the business, coordinates with business area stakeholders and internal risk and compliance partners.
- Prepares written inspection and assessment reports and provides recommendations for improvement. Provides guidance to mitigate compliance risks and control gaps.
- Tests compliance oversight and operating policies and procedures for effectiveness of regulatory compliance controls. Participates in developing and writing new compliance policies and procedures. Ensures compliance documentation and manuals are up to date and distributed.
- Researches potential issues, determines scope, and potential regulatory impact. Recommends practices to reduce potential for violations and noncompliance.
- Follows approved investigation procedures and reports on corrective actions.
- Maintains a broad knowledge of the investment industry. Stays abreast of current market, regulatory and industry relevant news. Serves as an expert on compliance related issues. Acts as a liaison to regulatory agencies.
- 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
