Team & Opportunity

To ensure the compliance of platform service provider business activities with all applicable regulatory and policy guidelines. Pro-actively identifies and remediates control gaps and ensures that controls are designed and operating effectively.

Core Responsibilities

1. Supports the facilitation and analytical support to ensure internal controls are properly aligned and implemented to ensure flawless service and compliance with all business partner expectations.

2. Design, implement and perform control activities in support of Policy Administration, Transfer Agency and platform obligations.

3. Facilitates periodic assessments of key business controls. Educates and influences business partners on control design and effectiveness, and recommends actions to increase effectiveness of those controls.

4. Develops effective working relationships throughout the division and company. Collaborates with the department, division, and management sharing best practices regarding key controls, to influence and effectively communicate control solutions to all appropriate parties . Support control awareness activities, ownership and accountability to business units and crew.

5. Facilitates effective business integration through collaboration with Operations, Risk, Legal, Audit and Compliance and other appropriate parties sharing expertise and knowledge to strengthen the Australian retail direct oversight.

6. Utilizes Vanguard's Unmatchable Excellence (VUE) tools to assist in developing and continually enhancing the Retail Direct control environment. Supports the development and execution of dashboards. Performs Control team reporting, highlighting findings, trends, and levels of exposure.

7. Support manager with new control evaluation based upon industry intelligence.

8. Participates in special projects and performs other duties as assigned.

Qualifications

• Undergraduate degree (Business) or equivalent combination of training and experience required .

• Knowledge of various business segments within retail and platform. Familiar with regulatory requirements for those businesses.

• Knowledge and understanding of internal control theory and practices.

• Experience in workflow analysis and documentation.

• Familiarity with a variety of platform technologies.

• Excellent oral and written communication skills.

• Solid analytical skills and understanding of processes, technology and operational concepts.

• Excellent time management and organizational skills.

• Demonstrated flexibility and ability to adapt to change.

• Strong proficiency with Microsoft Office applications.

Inclusion Statement

Vanguard's continued commitment to diversity and inclusion is firmly rooted in our culture. Every decision we make to best serve our clients, crew (internally employees are referred to as crew), and communities is guided by one simple statement: "Do the right thing."

We believe that a critical aspect of doing the right thing requires building diverse, inclusive, and highly effective teams of individuals who are as unique as the clients they serve. We empower our crew to contribute their distinct strengths to achieving Vanguard's core purpose through our values.

When all crew members feel valued and included, our ability to collaborate and innovate is amplified, and we are united in delivering on Vanguard's core purpose.

Our core purpose: To take a stand for all investors, to treat them fairly, and to give them the best chance for investment success.

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.