In this role you will monitor global substantial shareholder disclosure obligations for Vanguard’s complexes and portfolios. You will will analyze position and trade data to identify ownership threshold triggers and ensure accurate, timely, and jurisdiction‑specific regulatory reporting.
Responsibilities
Monitor and execute global substantial shareholder disclosure obligations across multiple jurisdictions, ensuring accurate, timely, and regulator‑compliant reporting.
Analyze portfolio holdings and transaction data to identify ownership threshold triggers, change‑in‑ownership events, and applicable disclosure or takeover‑related filing requirements.
Research, review, and reconcile ownership compliance summaries to support Vanguard’s adherence to global substantial shareholder and takeover regulations.
Interpret regulatory requirements and legal guidance, translating them into operational rules and decision frameworks for post‑trade compliance systems.
Partner with internal teams, external counsel, and third‑party vendors to implement, maintain, and enhance compliance rules within operating systems and monitoring tools.
Maintain and update a centralized library of compliance documentation, ensuring materials reflect current substantial shareholder and takeover requirements and are appropriately communicated to stakeholders.
Analyze complex transaction, ownership, and trading activity across global markets and present risk‑related findings, escalations, and trends to leadership and relevant stakeholders.
Serve as a subject matter specialist for global substantial shareholder disclosures and takeover regimes, acting as a liaison with regulatory bodies, external counsel, system vendors, and global service providers.
Stay current on global regulatory, market, and industry developments impacting ownership disclosure, takeover, and post‑trade compliance obligations.
Participate in strategic initiatives, control enhancements, and special projects, while continuing to support daily regulator‑facing execution.
Qualifications
Experience in compliance, regulatory reporting, post‑trade operations, or a related financial services function, with exposure to ownership monitoring, regulatory disclosures, or transaction‑driven reporting requirements.
Ability to analyze complex portfolio holdings and transaction data and apply ownership thresholds, change‑in‑control concepts, and regulatory rules to real‑world scenarios.
Strong analytical skills with the ability to interpret regulations and legal guidance and translate requirements into practical, operational solutions.
Bachelor’s degree or an equivalent combination of education, training, and relevant 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.
Skills Required
- Experience in compliance, regulatory reporting, post‑trade operations, or related financial services function with exposure to ownership monitoring or transaction‑driven reporting
- Ability to analyze complex portfolio holdings and transaction data and apply ownership thresholds and regulatory rules
- Strong analytical skills to interpret regulations and legal guidance and translate them into operational solutions
- Bachelor's degree or equivalent combination of education, training, and relevant experience
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.
