Compliance mission and vision:

• Mission - Design and implement dynamic, scalable compliance programs that guide and support Vanguard in achieving its mission.
• Vision - To inspire and cultivate a culture of compliance that enables Vanguard crew to do the right thing, every time.

Responsibilities:

• Supporting foundational compliance program initiatives, including maintaining core frameworks, policies, and governance structures that ensure alignment with regulatory expectations and industry best practices.
• Coordinating and collaborating with business partners across the enterprise to consolidate information from multiple sources into comprehensive, cohesive responses, reports, or other materials for engagement with regulators.
• Appropriately demonstrating consideration for the firm's reputation and safeguarding Vanguard and its clients by applying sound judgment and business practices to mitigate and manage regulatory risk.
• Monitoring evolving regulatory landscapes and proactively informing stakeholders of relevant industry trends, emerging regulatory priorities, and compliance matters.
• Serves as an experienced advisor to the business, and interfaces regularly with business unit stakeholders and internal risk and compliance partners.
• Collaborate on compliance-related projects, including cross-departmental initiatives, regulatory deliverables, and internal process improvements.
• Participating in special projects and performing other duties as assigned. 

Core Competencies:

• Strong leadership presence; can lead through influence / without formal authority; well-developed interpersonal and communication skills; experience with regulatory communications a plus.

• Adept at synthesizing large amounts of information and providing concise messaging.
• Confident and has ability to structure, summarize, present project status as well as defend recommendations and outcomes.
• Can work effectively in a team-based, collaborative leadership model; a team player who will implement initiatives effectively and motivate others to carry out their work.
• Self-starter who brings high sense of urgency to assignments and goals.
• Integrity, maturity, dependability, a positive professional attitude.
• Comfortable with ambiguity and change and working in a large, complex organization.
• High degree of integrity, ethics, and confidentiality.
• Ability to apply situational judgment and decision-making authority.

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.
• FINRA Licensing strongly preferred.

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.