AddressCompliance 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.
About Vanguard
More than 45 years ago, John C. Bogle had a vision to start an investment company that did things differently. A company with no external shareholders. Where all the profits were invested back into the business and used to lower costs. Evidently, it was as bold as it was brilliant. To this day, Vanguard Group still has no external shareholders. That means no share prices to protect, and no profits to generate for outside owners.
Today, Vanguard is one of the world's largest investment management companies, serving more than 50 million investors worldwide. For more than 25 years Vanguard Australia has been supporting individual investors, financial advisers, and superannuation members to achieve their long-term financial goals.
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.
Core Responsibilities
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.
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.
Inclusion Statement
Vanguard's continued commitment to diversity and inclusion is firmly rooted in our culture. Every decision we make to best serve our clients, crew (internally employees are referred to as crew), and communities is guided by one simple statement: "Do the right thing."
We believe that a critical aspect of doing the right thing requires building diverse, inclusive, and highly effective teams of individuals who are as unique as the clients they serve. We empower our crew to contribute their distinct strengths to achieving Vanguard's core purpose through our values.
When all crew members feel valued and included, our ability to collaborate and innovate is amplified, and we are united in delivering on Vanguard's core purpose.
Our core purpose: To take a stand for all investors, to treat them fairly, and to give them the best chance for investment success.
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.
Job ID 160812
