Vanguard has an exciting opportunity with the Advice Products & Services Compliance team. The position performs targeted and periodic testing and assessments for the advisories' respective compliance programs to help ensure regulatory standards and firm policies. As a compliance testing analyst, you will be responsible for conducting routine compliance testing to evaluate the effectiveness of controls and identify areas for improvement. You will collaborate with senior compliance advisors and key business partners to assess whether practices and procedures meet regulatory requirements and internal guidelines. This role will require the candidate provide insightful reports, track findings, and assist in recommending corrective actions when necessary to mitigate risks and to maintain a robust compliance framework.
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The ideal candidate will have a strong understanding of retail investment advisory activities with knowledge of the Investment Advisers Act of 1940. Attention to detail, critical thinking, and excellent verbal and written communication skills are essential in this role to effectively collaborate with business partners and ensure compliance obligations are consistently met. Position serves as a trusted advisor to the business and provides guidance and oversight of regulated activities.
Responsibilities
- Conducts compliance testing for retail investment advisory activities, focusing on regulatory requirements, internal policies, and risk management protocols.
- Prepares written assessment reports and provides recommendations for improvement. Provides guidance to mitigate compliance risks and control gaps.
- Participates in developing and drafting new compliance policies and procedures. Ensures compliance documentation and manuals are up to date and distributed across the business.
- Serves as advisor to the business. Coordinates with business stakeholders and internal risk and compliance partners.
- Researches potential issues, determining scope and potential regulatory impact.
- Serves as an expert on compliance programs and regulatory matters relevant to business operations.
- Participates in special projects and performs other duties as assigned.
Qualifications
- Minimum of five years related work experience. Regulatory, compliance, investment, or auditing experience preferred.
- Knowledge of OCC regulations desirable.
- Undergraduate degree or equivalent combination of training and experience.
- Series 65 and/or IACCP® (Investment Adviser Certified Compliance Profession) designation a plus.
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.