Sr Compliance Specialist- Strategic Projects

Vanguard has an exciting opportunity to join the Code of Ethical Conduct (“COEC”) department within the Global Financial Crimes team in the Office of the General Counsel (“OGC”). 

COEC oversees policies, procedures, and training designed to support a culture of compliance, good conduct, and accountability at Vanguard in line with our Code of Ethical Conduct (the “Code”).  The team has several key strategic and operational responsibilities as follows:

•Responsibility for driving the direction and developing policies and procedures to ensure compliance with regulatory requirements and the highest standards of ethical behaviors supporting a culture of compliance, good conduct, and accountability at Vanguard

•Supervising and providing oversight and escalation in respect of regulatory compliance and conduct areas of focus, including PA trading, conflicts of interest and anonymous hotline complaints.  

Finally, COEC serves as a trusted advisor to our clients, business partners and leaders, to deliver solutions to elevated issues. Our clients are Vanguard crew members (employees) at all levels of the enterprise. 

In this role, you will be a key member of the team and report directly to the Global Head of Ethics and Conduct Compliance.  You will support and lead on driving forward the strategic priorities of the department as determined from time to time, including the annual Program of Activities.  In the immediate, the role with support the Conflicts Project which will be a key deliverable.

Please disregard the licensing/registration requirements noted below. There are no licensing or registration requirements for this role

Responsibilities:

• Participates in, designs and leads, CoEC strategic projects to strengthen the organization and support a culture of compliance, good conduct and accountability at Vanguard.
• Provides training and guidance to crew across Vanguard on strategic projects to drive compliance and 1st line implementation. 
• Leads the creation and implementation of frameworks, systems and processes to support delivery of strategic projects and mitigation of compliance risk.  Recommends enhanced solutions. 
• Oversees and consults on the design, implementation, execution, and maintenance of compliance policies and procedures related to the CoEC strategic priorities, the Code and related policies, working collaboratively with other OGC departments, the business and clients as necessary. 
• Identifies opportunities to continually improve the oversight of conduct risk at Vanguard. Utilizes technology, risk management techniques and business area knowledge to develop, ideate, maintain and test approach, practices, policies and procedures.   
• Leads the creation and implementation of systems and processes to prevent, detect, and respond to Code-related incidents. Recommends enhanced solutions.  Supports the development of new compliance and ethics standards to support a culture of compliance, good conduct and accountability at Vanguard. 
• Handles multiple assignments simultaneously from conception through execution and implementation of recommendations. Coordinates, prioritizes, and actively manages tasks as needed to meet deadlines.
• Cultivates effective working relationships across applicable business areas and external business partners. Fosters lines of communication between and works collaboratively with, business contacts, colleagues within OGC (including the Legal and the wider Compliance Departments) risk personnel and control groups. Participates in activities and efforts as required with other Compliance teams and business partners.
• Maintains and cultivates a strong knowledge of the investment industry and compliance developments with implications for Vanguard's conduct program. Keeps abreast of the current market, regulatory and industry news. Serves as a specialist on conduct and ethical compliance related issues, particularly in respect of US regulatory authorities and emerging requirements and trends.
• Maintains the CoEC’s standards through work ethic, responsiveness to clients and stakeholders, attitude, adherence to the Code and exercise of good ethical judgment, initiating and implementing new projects as appropriate. 
• Provides support in respect of departmental activity, including: assisting with the preparation of material to support meetings and projects and the gathering and production of requested documents in connection with management reporting, regulatory examinations or enquiries. 
• Participates in special projects and performs other duties as assigned.

Qualifications:

• Minimum of five to eight years related work experience. Regulatory, compliance or conduct experience preferred.
• Excellent relationship management skills, including ability to interact with, and comfort presenting to, individuals at various levels internal and external to the company.
• Demonstrated ability to function in a fast-paced, ambiguous environment while managing multiple and diverse responsibilities. Ability to work with a high degree of autonomy and show initiative.
• Excellent verbal and written communication skills. 

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.