Compliance Analyst

at  Vanguard Group

Compliance Analyst
Leads and performs compliance inspections. Supports the development, implementation, and maintenance of compliance processes, as well as compliance monitoring functions. Serves as a trusted advisor to the business (including superannuation business teams) and provides guidance and oversight of regulated activities.

TEAM & OPPORTUNITY

The team is keen to mature its practices and is looking for an adaptable individual to primarily perform compliance assessments, where incidents are identified; as well as to support the development, implementation, and maintenance of compliance processes; and to assist in compliance monitoring functions. They serve as a trusted advisor to the business (including fund management and superannuation business teams) and provide guidance and oversight of regulated activities.

QUALIFICATIONS

• Minimum of five years related work experience. Regulatory, compliance, investment, superannuation or control assurance experience preferred.
• Undergraduate degree or equivalent combination of training and experience.

• Performs compliance 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 assessment reports and provides recommendations for improvement, where necessary. Provides guidance to mitigate compliance risks and control gaps.
• Performs compliance oversight reviews to assess demonstration of compliant activities with regards to regulatory compliance requirements. 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.