Responsibilities:

• Hires, onboards, evaluates, and supervises crew. Leads a team responsible for identifying and investigating potential violations of the Code of Ethical Conduct and supporting policies. Provides guidance and training to team regarding COEC processes and procedures to ensure regulatory compliance and protect shareholder assets. Sets performance standards, reviews performance, and makes informed compensation decisions in accordance with HR policies.
• Manages a team (of six analysts) performing day-to-day supervision of employee personal trading compliance, monitoring and maintenance of employee accounts, employee gift and entertainment requests, compliance alerts stemming from internal certifications, employee outside business activity requests, employee conflict of interest disclosures, and more.
• Leads the collection of documentation and exceptions required for internal due diligence reviews. Responsible for team procedure inventory and record change log. Evaluates the accuracy of operational procedures to ensure compliance with established regulatory standards.
• Supports senior specialist with compliance vendor monitoring, scorecard, and issue management/ reporting.
• Is responsible for the alert resolution framework, resolves exceptions according to established guidelines. Raises alerts and elevates complex issues as vital.
• Assists with required internal and external reporting in accordance with departmental policies and regulatory guidelines.
• Responsible for team operational dashboards, metrics, KPI’s, SLAs, demand and capacity, and the like. Presents key findings and recommendations to management.
• Participates in formal and informal educational activities, including presentations, staff meetings and training programs. Contributes to the development of GFC4 related training and education for more junior crew members.
• Establishes and maintains a broad knowledge of the investment industry and compliance developments with implications for Vanguard's COEC program. Stay on top of the current market, regulatory and industry news. Serves as a consultant on compliance related issues. Acts as a liaison to regulatory agencies.
• Participates in special projects and performs other duties as assigned.

Qualifications:

• Minimum three years related work experience.
• Regulatory, compliance, or auditing experience preferred.
• Undergraduate degree or equivalent experience 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.
• Experience with PowerBi/PowerApps.
• Financial/Investment product competence.
• Ability to work independently – “self-starter initiative.”

  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.