Senior Compliance Analyst

50 years ago, John C. Bogle had a vision to start an investment company that did things differently. A company with no external shareholders. Where all the profits were invested back into the business and used to lower costs. Evidently, it was as bold as it was brilliant. To this day, Vanguard Group still has no external shareholders. That means no share prices to protect, and no profits to generate for outside owners.

Today, Vanguard is one of the world's largest investment management companies, serving more than 50 million investors worldwide. For more than 30 years Vanguard Australia has been supporting individual investors, financial advisers, and superannuation members to achieve their long-term financial goals.

Our Team

Our Compliance team is seeking a detail-oriented compliance professional responsible for leading and conducting compliance inspections and monitoring activities. Supports the development, implementation and continuous improvement of compliance processes, frameworks and controls. Acts as a trusted advisor to the business, providing practical guidance, challenge and oversight to ensure regulated activities are conducted in accordance with internal policies and regulatory obligations.

Core Responsibilities

• Oversees routine monitoring and inspections. Leads investigations of alleged violations of Vanguard's ethical standards and noncompliance with applicable laws, regulations and corporate policy issues. Serves as an advisor to the business, coordinates with business area stakeholders and internal risk and compliance partners.
• Prepares written inspection and assessment reports and provides recommendations for improvement. Provides guidance to mitigate compliance risks and control gaps.
• Tests compliance oversight and operating policies and procedures for effectiveness of regulatory compliance controls. Participates in developing and writing new compliance policies and procedures. Ensures compliance documentation and manuals are up to date and distributed.
• Researches potential issues, determines scope, and potential regulatory impact. Recommends practices to reduce potential for violations and noncompliance.
• Follows approved investigation procedures and reports on corrective actions.
• Maintains a broad knowledge of the investment industry. Stays abreast of current market, regulatory and industry relevant news. Serves as an expert on compliance related issues. Acts as a liaison to regulatory agencies.
• Participates in special projects and performs other duties as assigned.

Qualifications

• Minimum of 5 years related work experience. Regulatory, compliance, investment, or auditing experience preferred.
• Undergraduate degree or equivalent combination of training and experience.