Business Unit & Product Compliance Analyst, Specialist
Business Unit & Product Compliance Analyst, Specialist
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Not Disclosed
Salary Not Disclosed
1 Vacancy
Job Description
Job Description
- Regulatory Engagement & Tracking: Maintain and track regulatory inquiries submissions and correspondence in an organized and consistent manner to ensure timely accurate responses and alignment with compliance requirements and regulatory expectations.
- Reporting & Documentation: Maintain a repository of past regulatory responses and exam reports; support knowledge sharing across compliance and business teams. Prepare and distribute regular reports summarizing regulatory interactions including status updates key themes and emerging issues.
- Business Partner Communication: Act as a liaison to business units to communicate regulatory expectations and response strategies in clear actionable terms.
- Process Coordination: Support the development and refinement of workflows for regulatory response and issue tracking.
- Meeting & Task Support: Lead coordination of meetings with regulators and internal teams; track follow-up items and ensure accountability across departments.
- Cross-Functional Collaboration: Collaborate to align messaging and ensure consistency in regulatory responses; participate in task forces or working groups as needed.
Core Competencies
- Able to contribute to team direction and influence outcomes through collaboration and communication.
- Exhibits exceptional organizational skills and attention to detail critical for managing regulatory inquiries tracking response deadlines and ensuring the accuracy and completeness of submissions to oversight bodies.
- Skilled at reviewing and summarizing information to support clear and concise messaging.
- Comfortable presenting project updates and contributing to discussions around recommendations and outcomes.
- Works well in team-oriented environments; dependable team player who supports group goals and contributes to shared success.
- Proactive and motivated self-starter with a strong sense of responsibility and commitment to meeting goals.
- Demonstrates professionalism reliability and a positive attitude in the workplace.
- Maintains high standards of integrity ethics and confidentiality.
Qualifications
- Minimum of three to five years relevant work experience regulatory compliance or investment experience preferred.
- Undergraduate degree or equivalent combination of training and experience.
- Excellent communication skills with the ability to independently engage with regulators senior management and internal teams.
- Strong organizational and communication skills.
- Attention to detail with the capability to manage complex regulatory reporting and documentation requirements.
- To be successful in this compliance role candidates should either possess or demonstrate a willingness to obtain FINRA licenses (e.g. Series 7 24).
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 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.
Required Experience:
IC
Employment Type
Full-Time
