Responsibilities:
- Assist in review, monitoring, and disposition of compliance activities to ensure adherence to regulatory requirements and internal policies via queue-like work.
- Supports the development, implementation, and testing of controls and control activity within assigned division using relevant tools and platforms. Identifies defects, monitors controls, and evaluates effectiveness. Recommends actions (process improvement, automation, etc.) to increase effectiveness.
- Provides facilitation and analytical support to ensure internal controls are properly aligned and implemented.
- Help in the identification and investigation of potential compliance issues and risks.
- Collaborate with various departments to gather necessary information and ensure compliance processes are followed.
- Maintain organized records and documentation to track progress of compliance issues and activities.
- Participates in special projects and performs other duties as assigned.
Want more jobs like this?
Get jobs delivered to your inbox every week.
Qualifications:
- Minimum three years related work experience.
- Regulatory, compliance, or auditing experience preferred.
- Undergraduate degree or equivalent combination of training and experience.
- Hybrid work schedule (in office Tuesday, Wednesday, Thursday).
Additional Requirements:
- Proficient in Microsoft Suite, including Microsoft Excel (writing/applying formulas, aggregating large data sets, pivot tables, etc.)
- Experience with UI Path/Citizen Developer a plus.
- Experience with PowerBi/PowerApps/ a plus.
- Financial/Investment product acumen a plus.
- Ability to work independently - "self-starter initiative."
Please note this role is a Fund Access Person role
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.