Senior Compliance Analyst - FundsETFs
Senior Compliance Analyst - FundsETFs
Employer Active
Job Alert
You will be updated with latest job alerts via email
Share
Job Alert
You will be updated with latest job alerts via email
Job Description
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 worlds 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 longterm financial goals.
The Opportunity
Serve as a trusted Compliance Advisor to Funds and ETF business stakeholders. Provide guidance and oversight of regulated activities across Vanguard Australias Funds suite. Support the implementation and maintenance of our compliance program and processes as well as relevant regulatory changes.
Core Responsibilities
- Advise Product Offer Investment Products on applicable laws regulations and corporate policies applicable to their function. Serve as an advisor to these businesses and interface regularly with a range of stakeholders as well as Risk Legal and other Compliance advisors.
- Participate in strategic business initiatives provide Compliance input and representation throughout the product (funds) life cycle. 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 fulfill obligations and maintain an effective control environment.
- Participate in the implementation and maintenance of Investments related compliance policies and procedures including the maintenance of the Funds Compliance Plan. Support the development of new compliance standards to support the relevant functions and stakeholders deliver compliant business outcomes.
- Review incidents and events reported including root cause and corrective action plans for resolution of issues. Recommend practices including control enhancements to mitigate noncompliance and effectively managing compliance risks.
- Undertake compliance reviews of regulated disclosures including notices and product disclosure statements.
- Manage operational efficiency. Sets measurable goals leveraging internal and external resources accordingly.
- Maintain a deep knowledge and awareness of the asset management and broader financial services industry.
- Participate in special projects and perform other duties as assigned.
Qualifications
- Minimum of five years related work experience and must have prior asset/funds management compliance experience or experience in product management for Funds or ETFs.
- Prior experience with compliance obligations relating to Responsible Entities Managed Investment Schemes ETFs DDO and the PDS regime.
- Undergraduate degree or equivalent combination of training and experience.
Inclusion Statement
Vanguards 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 Vanguards 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 Vanguards 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 inperson learning collaboration and connection. We believe our missiondriven and highly collaborative culture is a critical enabler to support longterm client outcomes and enrich the employee experience.
Required Experience:
Senior IC
Employment Type
Full-Time
