Equity Investment Operational Risk Analyst

The Vanguard Group • Malvern, PA

2d • Hybrid

About The Position

Situated alongside the Investment Management Group (IMG), we are a team with diverse professional and educational backgrounds ranging from buy- and sell-side trading to banking risk to fund compliance to law. We work directly with IMG to mitigate risk failures stemming from processes, human error, regulatory change, and technology alongside our business partners in Portfolio Review, Legal, Compliance, Global Risk & Security, Finance, IT and more. This role provides the opportunity to partner with and learn from all groups in and surrounding the Investment Management Group. The ideal candidate will possess a desire to build fixed income and equity investment experience and risk acumen, have strong relationship management skills, and hold themselves to high standards for teamwork and collaboration.

Requirements

• Undergraduate degree or equivalent combination of training and experience.
• Minimum of three or more years of related and progressive work experience.
• Strong working knowledge of mutual funds and investment operations or investment systems.
• Professionalism in managing multiple priorities and performing complex analysis under tight deadlines.

Nice To Haves

• Knowledge of Equity and Fixed Income Order Management Systems preferred.

Responsibilities

• Lead the review, validation and enhancement of compliance rules within the Order Management Systems (CRD and BlackRock Aladdin) to ensure all regulatory requirements, prospectus rules and investment directives are met.
• Work with the traders and stakeholders to implement additional alerts which will improve the control effectiveness of the trade lifecycle.
• Lead regular readouts to Senior Leaders across IMG and other key partners (e.g. Legal and Compliance) on the effectiveness of the pre-trade controls program.
• Decision input into the trades when a pre-trade alert is flagged.
• Monitor overnight portfolio alerts and warnings and perform trend analysis to identify if rule amendments are needed.
• Provide risk expertise to support key corporate and market events.
• Identify operational risks and incidents and recommend solutions to address the root cause.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level