Compliance Analyst, Specialist

at  Vanguard

You will play a significant role reporting to the Director, Regulatory Engagement and Conduct, within Compliance in the Office of the General Counsel’s (OGC). You will have primary responsibility for analysing and advising on all regulatory engagement with the FCA. You have an opportunity to have a direct impact on the FCA’s perception of Vanguard and will be a key driver of success in this relationship. In managing our regulatory relationships, you will be liaising with key stakeholders across all levels within Vanguard, to ensure all deliverables are met and that we comply with regulatory requirements and expectations. Additionally, you will be responsible for providing technical regulatory interpretation and input to business matters, supporting the Compliance Advisory teams and the wider OGC function in this. This is a role for an individual with broad FCA regulatory experience and excellent interpretation, judgement, organisation and presentation skills. Moreover, this individual will need excellent relationship management skills to manage the Senior stakeholders internally and at the FCA. This role is also designed for an individual with a flexible approach to work who can support or lead other compliance projects and initiatives working closely with the broader Compliance team and other members of OGC.
You will play a significant role reporting to the Director, Regulatory Engagement and Conduct, within Compliance in the Office of the General Counsel’s (OGC). You will have primary responsibility for analysing and advising on all regulatory engagement with the FCA. You have an opportunity to have a direct impact on the FCA’s perception of Vanguard and will be a key driver of success in this relationship. In managing our regulatory relationships, you will be liaising with key stakeholders across all levels within Vanguard, to ensure all deliverables are met and that we comply with regulatory requirements and expectations.
Additionally, you will be responsible for providing technical regulatory interpretation and input to business matters, supporting the Compliance Advisory teams and the wider OGC function in this.
This is a role for an individual with broad FCA regulatory experience and excellent interpretation, judgement, organisation and presentation skills. Moreover, this individual will need excellent relationship management skills to manage the Senior stakeholders internally and at the FCA. This role is also designed for an individual with a flexible approach to work who can support or lead other compliance projects and initiatives working closely with the broader Compliance team and other members of OGC.

• Have a dedicated focus on FCA relationship management, in particular with the Supervision team.
• Prepare and attend regular and ad-hoc meetings alongside Vanguard SMF16.
• Act as a central coordinator and facilitator of regulatory requests. Work collaboratively with stakeholders across Vanguard to meet FCA deliverables in timely and efficient manner.
• Manage all FCA engagements and act as a first point of contact for FCA Supervision team, provide subject matter guidance to key stakeholders across the business to support and respond to information requests.
• Play active role and provide SME advice is preparing Vanguard employees and Senior Staff for FCA visits and thematic inspections.
• Have strong presentational skills to engage with Senior Management and prepare Board related information on behalf of Compliance.
• Be able to deal with multiple complex issues in a methodical and organised manner, with the ability to meet and manage deadlines affectively.
• Provide technical regulatory input and interpretation of (new) regulations, supporting Compliance and the wider OGC function.
• Engage and work collaboratively with the subject matter experts across OGC, as they interface with the business where appropriate.
• Provide European input into regulatory reporting in other jurisdictions.
• Contribute to the briefing and/or training of impacted business functions and Boards, as required, alongside fellow OGC colleague(s).
• Enhance your impact by developing and maintaining your knowledge and awareness of the investment industry, regulatory and policy changes with potential impact on Vanguard’s business and attend relevant industry association working groups, as required.