Head of Compliance, Australia
at Vanguard Group
Melbourne, Victoria, Australia -
| Start Date | Expiry Date | Salary | Posted On | Experience | Skills | Telecommute | Sponsor Visa |
|---|---|---|---|---|---|---|---|
| Immediate | 27 Aug, 2024 | Not Specified | 28 May, 2024 | 5 year(s) or above | Good communication skills | No | No |
Required Visa Status:
| Citizen | GC |
| US Citizen | Student Visa |
| H1B | CPT |
| OPT | H4 Spouse of H1B |
| GC Green Card |
Employment Type:
| Full Time | Part Time |
| Permanent | Independent - 1099 |
| Contract – W2 | C2H Independent |
| C2H W2 | Contract – Corp 2 Corp |
| Contract to Hire – Corp 2 Corp |
Description:
Responsibilities:
- Coach, guide, and develop a team of legal and compliance professionals . Provide guidance, training, and motivation as necessary to develop employees (Vanguard crew). Set performance standards, review performance, provide feedback, and make informed compensation decisions in accordance with all applicable Human Resources policies and procedures.
- Provide strategic leadership in defining and implementing a compliance risk management framework to be executed by a team of compliance professionals. Direct compliance activities, that may include compliance monitoring, inspections, reporting, and quality assurance. Oversee investigations of alleged violations of Vanguard’s ethical standards and noncompliance with applicable laws, regulations, and corporate policy issues.
- Partner with senior business leaders and stakeholders to educate as well as provide advice and training to ensure compliance with regulatory requirements.
- Oversee department preparation and coordination efforts leading up to regulatory visits. Serve as a primary liaison to examiners and regulatory agencies.
- Lead the development of compliance policies and procedures. Partner closely with leaders across the enterprise as well as colleagues in other risk and control functions across Vanguard to ensure the consistent implementation of compliance program standards and practices.
- Drive the identification and development of corrective action plans to resolve problematic compliance issues. Develop strategies and practices to reduce potential for violations and noncompliance. Report on corrective actions.
- Set standards and metrics for operational efficiency. Develop and deliver required reporting on compliance audits to business leaders and Vanguard’s global Chief Compliance Officer. Manage the compliance department’s record keeping program.
- Lead strategic compliance support related to business initiatives and new product launches.
- Maintain an expert knowledge and awareness of the investment, asset management and superannuation industries. Stay abreast of current market, regulatory and industry relevant news while building agility into compliance risk management activities to drive responsiveness.
- Serve as an expert and key resource related to compliance issues. Utilize deep expertise to lead a team and develop a response to complex compliance related issues.
- Act as a liaison to and key contact with regulatory agencies, in partnership with other stakeholders.
- Participates in special projects and performs other duties as assigned.
REQUIREMENT SUMMARY
Min:5.0Max:10.0 year(s)
Financial Services
Accounts / Finance / Tax / CS / Audit
Finance
Graduate
Proficient
1
Melbourne VIC, Australia
