Supports the development, implementation, and maintenance of compliance processes, as well as compliance monitoring functions related to business activities and investment products. Serves as a trusted advisor to the business, provides guidance and oversight of regulated activities.
Core Responsibilities
- Serves as an experienced advisor to the business, and interfaces regularly with business unit stakeholders and internal risk and compliance partners
- Manages regulatory visits, exams, inquiries and investigations within the business. Provides guidance to mitigate compliance risks and control gaps.
- Oversees the design, implementation, execution, and maintenance of compliance policies and procedures. Supports the development of new compliance standards.
- Identifies and implements corrective action plans for resolution of problematic issues.
- Manages operational efficiency. Sets measurable standards leveraging internal and external resources accordingly.
- Serves as an expert on compliance related issues.
- Participates in special projects and performs other duties as assigned.
Preferred Qualifications
- Knowledge of the Investment Advisers Act and Series 65 license
- Familiarity with direct-indexing or indexing products and platforms
- Composite practices (GIPS) and trading lifecycle
Qualifications
- Minimum of five years related work experience, with at least two years within a financial services compliance function.
- Undergraduate degree or equivalent combination of training and experience.
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.
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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.
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