Responsibilities:
- Leads the maintenance of Vanguard's Code of Ethical Conduct and supporting policies and procedures. Leads routine monitoring to ensure broad observance of the policy. Investigates alleged violations of Vanguard's ethical standards and noncompliance with applicable laws, regulations, and corporate policy issues.
- Responds to compliance inquiries related to Vanguard's Code of Ethical Conduct. Proactively recommends practices to prevent violations or noncompliance. Owns the creation of higher complexity or nonroutine action plans for resolution.
- Assists in developing and writing new compliance policies. Writes procedures related to Vanguard's Code of Ethical Conduct. Ensures compliance documentation and manuals are up to date and distributed.
- Owns the accurate and timely completion of relevant regulatory filings. Investigates compliance issues and tracks follow-up items through resolution, as necessary.
- Serves as a trusted advisor to the business. Provides advice and guidance in connection with people, process, technology, and regulatory changes.
- Tracks key measures, metrics, and trends for compliance and reporting. Presents key findings and recommendations to senior management.
- Develops and delivers compliance training and education to crew members.
- Follows approved investigation procedures and reports on corrective actions. Collaborates with leaders to carry out higher complexity or nonroutine procedures or reporting.
- Establishes and maintains a broad knowledge of the investment industry. Stay on top of the current market, regulatory and industry relevant news. Serves as a specialist on compliance related issues. Acts as a liaison to regulatory agencies.
- Participates in special projects and performs other duties as assigned.
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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 reviewing and dispositioning Outside Business Activity ("OBA") and personal Conflict of Interest ("COI") requests for broker-dealer and investment advisors pursuant to FINRA and SEC regulations (e.g., FINRA 3270).
- Proficient in Microsoft Suite, including Microsoft Excel/PowerApps (writing/applying formulas, aggregating large data sets, pivot tables).
- 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.
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.