Lead the Fight Against Financial Crime at Vanguard
We are in pursuit of an individual with industry experience in Anti Money Laundering, Know Your Client, and Compliance Operations. In this crucial role, you'll be at the forefront of Vanguard's Anti-Money Laundering and Compliance Operations in an informal leadership capacity. Join a team committed to protecting financial integrity and combating financial crime. As a Compliance Specialist, you will play a critical role in Vanguard’s Anti-Money Laundering (AML) and Know Your Customer (KYC) programs. You’ll be responsible for monitoring client activity, conducting due diligence, and supporting regulatory compliance efforts across our global client base.
In this role, you will be responsible for:
Client Monitoring & Investigations
Conduct day-to-day monitoring of client activity to detect suspicious behavior. Assist investigators and analysts with investigations and escalate complex cases as needed.
Risk Management & Client Risk Mitigation
Assess and manage client risk through the application of established policies, procedures, and controls. Evaluate high-risk client relationships, identify potential risks and vulnerabilities, and recommend actions to mitigate financial crime and compliance exposure. Mitigate risk through oversight, process improvements, policy, and procedure review and updates.
Alert Resolution & Escalation
Review internal alerts and reports. Resolve exceptions in line with policy and escalate issues that require further investigation.
Regulatory Reporting
Support internal and external reporting obligations in accordance with regulatory guidelines and departmental procedures.
Training & Mentorship
Participate in training sessions and contribute to the development of educational materials for junior team members.
Industry Awareness & Consultation
Stay current on regulatory developments and industry trends. Serve as a compliance consultant and liaison to regulatory agencies.
Qualifications:
- Minimum of 3 years of relevant experience in compliance, AML, or financial services.
- Bachelor’s degree or equivalent combination of education and experience.
- Strong analytical, investigative, and communication skills.
- Experience assessing client risk and applying effective risk mitigation strategies.
- Demonstrated ability to work effectively in a highly regulated environment and exercise sound judgment when evaluating complex situations.
- Proven ability to adapt to change, navigate ambiguity, and support evolving business and regulatory priorities.
- Experience influencing others, driving process improvements, and acting as a change agent within a team environment.
- Ability to collaborate effectively with colleagues across different teams and contribute to shared goals.
- Familiarity with tools such as LexisNexis, World-Check, or similar platforms is a plus.
Special Factors
Sponsorship
Vanguard is not offering visa sponsorship for this position.About Vanguard
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.
Skills Required
- Minimum of 3 years of relevant experience in compliance, AML, or financial services
- Bachelor's degree or equivalent combination of education and experience
- Strong analytical, investigative, and communication skills
- Experience assessing client risk and applying effective risk mitigation strategies
- Ability to work effectively in a highly regulated environment and exercise sound judgment when evaluating complex situations
- Ability to adapt to change, navigate ambiguity, and support evolving business and regulatory priorities
- Experience influencing others, driving process improvements, and acting as a change agent within a team environment
- Ability to collaborate effectively with colleagues across different teams and contribute to shared goals
- Familiarity with LexisNexis, World-Check, or similar platforms
Vanguard Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about Vanguard and has not been reviewed or approved by Vanguard.
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Retirement Support — Retirement support appears unusually strong through a 401(k) design that includes a match plus an additional employer contribution, which can materially lift long-term total rewards. HSA seeding and an enhanced employer match further strengthen the savings-and-benefits value of the package.
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Wellbeing & Lifestyle Benefits — Wellbeing and lifestyle support is reinforced by a sizable annual FlexFund stipend that can be applied across many day-to-day categories such as fitness, childcare, and other personal expenses. On-site or virtual clinics and fitness options add practical health and wellness convenience.
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Affordable Benefits — Healthcare and related benefits are positioned as comparatively affordable via heavily subsidized medical plans and broad coverage options. This affordability can offset moderate base pay for employees who place higher value on out-of-pocket cost reductions.
Vanguard Insights
What We Do
We are a community of 30 million who think – and feel – differently about investing. Together, we’re changing the way the world invests. Since our founding in 1975, helping our investors achieve their goals is our sole reason for existence. With no other parties to answer to and therefore no conflicting loyalties, we make every decision—like keeping investing costs as low as possible—with only your needs in mind. Vanguard is one of the world's largest investment companies, offering a large selection of high-quality low-cost mutual funds, ETFs, advice, and related services. Individual and institutional investors, financial professionals, and plan sponsors can benefit from the size, stability, and experience Vanguard offers. As of April 30, 2019, we managed more than $5.6 trillion in global assets. In addition, we have 189 funds in the United States and 225 funds in global markets. For Commenting Guidelines & Important information, visit here: http://vanguard.com/linkedin Vanguard Marketing Corporation, Distributor.
