You will be a member of a team of dedicated compliance professionals who play a critical role in ensuring Vanguard adheres to regulatory requirements and internal policies, focusing on information barriers, conflicts of interest, and investment management compliance advisory support. You will serve as a trusted advisor to the investment management business and provide guidance, oversight, and relationship management. This position involves monitoring and managing information flows, conducting information barrier monitoring, and providing day-to-day compliance advice to the trade desks.
The ideal candidate should have experience in managing control room operations, such as overseeing wall-crosses, managing data room access, handling material non-public information, and maintaining information barriers. Additionally, this role requires flexibility to assist the broader compliance department with projects, inspections, audits, and exams. You will need to be familiar with capital markets structure, regulations, mechanics, and emerging issues impacting registered 40 Act funds and ETFs. The successful candidate will demonstrate judgment, technical expertise, initiative, and creativity; and will possess strong workflow management, organizational, and communication skills. They should be able to handle multiple projects simultaneously with minimal supervision, prioritize to meet tight deadlines, and serve as a key member of a compliance team.
Responsibilities
1. Act as the point of contact and manage key relationships with IMG Portfolio Managers, Traders, Risk, Compliance, and other internal stakeholders.
2. Lead, develop, and manage ethical wall controls and monitors, including market soundings, MNPI, and confidential information control, as well as related policy and procedure development.
3. Provide advice, guidance, and training to IMG crew on information barriers, including responding to live trading questions in a timely, risk-based fashion.
4. Act as the compliance SME for relevant business change initiatives.
5. Serve as an escalation point for compliance program monitoring, testing, risk assessments, and trade surveillance.
6. Monitor electronic communications to enforce information barriers.
7. Participate in new rule implementations pertaining to your coverage area.
8. Support the wider Global Fund, Advisor, and Distribution team as needed.
9. Participate in special projects and perform other duties as assigned.
Qualifications
1. Minimum of five years related work experience, with at least two years within a financial services compliance function. Regulatory, compliance, investment, or auditing experience preferred.
2. Undergraduate degree or equivalent combination of training and experience. Graduate degree preferred.
3. Familiarity with capital markets structure, regulations, mechanics, and emerging issues impacting registered 40 Act funds and ETFs.
Special Factors
Sponsorship
Vanguard is not offering visa sponsorship for this position.
About Vanguard
At Vanguard, we don't just have a mission—we're on a mission.
To work for the long-term financial wellbeing of our clients. To lead through product and services that transform our clients' lives. To learn and develop our skills as individuals and as a team. From Malvern to Melbourne, our mission drives us forward and inspires us to be our best.
How We Work
Vanguard has implemented a hybrid working model for the majority of our crew members, designed to capture the benefits of enhanced flexibility while enabling in-person learning, collaboration, and connection. We believe our mission-driven and highly collaborative culture is a critical enabler to support long-term client outcomes and enrich the employee experience.
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