Fund Compliance Analyst - US Fund Policies

You will be a member of a growing team of dedicated compliance professionals who are focused on creating and administering compliance programs for Vanguard’s U.S. funds and investment advisors, with the goal of protecting Vanguard from regulatory compliance risk and reputational harm. You will contribute to the continued growth of the Fund and Advisor Compliance team by serving as a subject matter expert to the business, providing compliance guidance and support of U.S. Fund Policies and supporting compliance programs relating to investment management matters. You will focus on developing, implementing, and maintaining compliance processes and programs related to Vanguard’s U.S. funds, supporting U.S. Fund Policy projects and processes, and working closely with strategic partners including PRD and the distribution channels. You will also have the opportunity to work with IMG, Finance and various partners including Risk, Internal Audit, Legal and Global Compliance as part of a team of compliance advisors who offer guidance on and support of investment management compliance matters and business initiatives. In your advisory capacity, you will provide guidance to colleagues in the Compliance Department on fund and advisor related matters, including advising on compliance inspections.
The ideal candidate will have experience serving as a trusted advisor to the business and providing guidance and oversight of regulated activities. The candidate will demonstrate judgment, technical expertise, initiative, and creativity; and will possess strong workflow management, organizational and communication skills, with the ability to handle a variety of projects simultaneously with minimal supervision, prioritize to meet tight deadlines in the context of servicing dynamic business units, and serve as a key member of a team of compliance professionals.
 

Core Responsibilities

• Serves as advisor to the business. Coordinates with business stakeholders and internal risk and compliance partners.
• Prepares written 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 across the business.
• Researches potential issues, determining scope and potential regulatory impact.
• Serves as an expert on compliance programs and regulatory matters relevant to business operations.
• Participates in special projects and performs other duties as assigned.

Qualifications

• Minimum of five years related work experience. Regulatory, compliance, investment, or auditing experience preferred.
• Undergraduate degree or equivalent combination of training and experience.
• This job requires a regulatory license and/or registration (e.g. FINRA, state, SFC).

Special Factors

Sponsorship

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.