Responsibilities:

• Oversees employee personal trading activity, underlying policies, and operational procedures. Manage and oversee receipt and processing of paper statements as well as electronic feeds.
• Leads investigations of alleged violations, resolves complex matters, and escalates issues when appropriate.
• Establishes oversight and operating policies and procedures. Develops and writes new compliance policies and procedures related to Vanguard’s Code of Ethical Conduct, Access Person Code of Conduct, and other supporting policies.
• Performs regular internal audits of all operational aspects to ensure proper due diligence for regulatory purposes, this includes but is not limited to data feed audits, fund trade audits, ethical walls, employee personal accounts audits, trade rules, etc.
• Maintains regular and consistent communication with compliance vendor (MyComplianceOffice) regarding operations and issue management/reporting.
• Researches potential issues, determines scope, and communicates potential regulatory impact. Recommends practices to reduce potential for violations and noncompliance.
• Serves as a consultant to the business and senior leadership. Provides advice and guidance for higher complexity matters in connection with people, process, technology, and regulatory changes.
• Identifies and tracks key measures, metrics and trends for compliance and reporting. Proposes new measurement and research practices. Presents key findings and recommendations to senior management.
• Develops and delivers compliance training and education to crew members and leaders. Recommends new content and delivery methods based on data driven insights.
• Maintains thorough knowledge of the investment industry. Stays abreast of current market, regulatory and industry relevant news. Serves as an expert on compliance related issues. Acts as a liaison to regulatory agencies.
• Participates in special projects and performs other duties as assigned.

Qualifications:

• Minimum five to seven years related work experience.
• Regulatory, compliance, or auditing experience preferred.
• Maintains thorough knowledge of the investment industry.
• Undergraduate degree or equivalent combination of training and experience.
• Hybrid work schedule (in office Tuesday, Wednesday, Thursday).

Additional:

• Proficient in Microsoft Suite, including Microsoft Excel (writing/applying formulas, aggregating large data sets, pivot tables, etc.)
• FINRA Series 7 and/or 24 a plus.
• Experience with UI Path/Citizen Developer a plus.
• Experience with PowerBi/PowerApps/ a plus.

Please note this role is a Fund Access Person role – click here for more information

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.

Our commitment to diversity, equity, and inclusion

Vanguard’s commitment to diversity, equity, and inclusion (DEI) is central to our ability to deliver on our mission. We aspire to create a work environment that is inclusive, equitable, and diverse—one that enables our employees, whom we call crew, to thrive and bring their best selves to work every day on behalf of our clients.

Cultivating DEI lifts our entire organization, and everyone shares accountability for our progress—from our senior leaders who lay the foundation and set the example for inclusive behaviors to crew who are growing in their personal DEI learning experiences.

Together, we’re on a mission. We are fueled by the value of diverse voices and connected through friendships and a culture of care—for our clients, our communities, and each other.    

Vanguard’s DEI journey has no finish line. Our commitment is enduring, and we remain focused on the path ahead. To learn more about Vanguard goals and progress toward DEI, download our Diversity, Equity, and Inclusion Report.

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.