Senior Compliance Advisor Fund and Advisor Compliance
Senior Compliance Advisor Fund and Advisor Compliance
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Salary Not Disclosed
1 Vacancy
Job Description
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 daytoday compliance advice to the trade desks.
The ideal candidate should have experience in managing control room operations such as overseeing wallcrosses managing data room access handling material nonpublic 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 with the ability to handle a variety of projects simultaneously with minimal supervision prioritize to meet tight deadlines in the context of servicing dynamic business units and serve as a key member of a team of compliance professionals.
Responsibilities
- Act as the point of contact and manage key relationships with IMG Portfolio Managers Traders Risk Compliance and other internal stakeholders.
- 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.
- Provide advice guidance and training to IMG crew on information barriers including responding to live trading questions in a timely riskbased fashion.
- Act as the compliance SME for relevant business change initiatives.
- Serve as an escalation point for compliance program monitoring testing risk assessments and trade surveillance.
- Monitor electronic communications to enforce information barriers.
- Participate in new rule implementations pertaining to your coverage area.
- Support the wider Global Fund Advisor and Distribution team as needed.
- Participates in special projects and performs other duties as assigned.
Qualifications
- 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.
- Undergraduate degree or equivalent combination of training and experience. Graduate degree preferred.
- 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 dont just have a missionwere on a mission.
To work for the longterm 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 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
