Investments Compliance Manager

at  Vanguard Group

Investments Compliance Manager
Serve as a trusted Compliance advisor to Investments and Funds/ETF business stakeholders. Provide guidance and oversight of regulated activities across Investments and APAC trading markets. Support the development, implementation, and maintenance of compliance processes, as well as compliance monitoring functions.

QUALIFICATIONS

• Minimum of ten years related work experience, with at least five years within a financial services compliance function.
• Must have prior experience supporting investments management or trading teams.
• Undergraduate degree or equivalent combination of training and experience.

• Advise APAC Investments and Portfolio Management functions on applicable laws, regulations and corporate policies applicable. Serve as an advisor to these businesses, and interface regularly with relevant business area stakeholders and internal risk and compliance partners.
• Participate in business strategic initiatives, provide Compliance input and representation. Responsible for completing Compliance owned deliverables within the required timeframe.
• Manage regulatory visits and inspections. Prepare written inspection and assessment reports and provides recommendations for improvement. Provide guidance to mitigate compliance risks and control gaps.
• Oversee the design, implementation, execution, and maintenance of Investments related compliance policies and procedures. Support the development of new compliance standards.
• Review incidents and events reported including root cause and corrective action plans for resolution of problematic issues. Recommend practices to reduce potential for violations and noncompliance.
• Manage operational efficiency. Sets measurable goals leveraging internal and external resources accordingly.
• Maintain a deep knowledge and awareness of the Investment industry. Stays abreast of current market, regulatory and industry relevant news. Serves as an expert on compliance related issues.
• Participate in special projects and perform other duties as assigned.