Sr. Compliance Specialist - Code of Ethics
Sr. Compliance Specialist - Code of Ethics
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Not Disclosed
Salary Not Disclosed
1 Vacancy
Job Description
Vanguards Code of Ethical Conduct (COEC) department is a part of the Financial Crimes team in Office of General Counsel. COEC oversees policies procedures and training designed to maintain the trust and loyalty of our clients and crew members by adhering to the highest standards of ethical behavior to ensure a culture of compliance. COEC serves as a trusted advisor to our clients business partners and leaders to deliver solutions to elevated issues. Our clients are Vanguard crew members at all levels of the enterprise.
Responsibilities:
Oversees the maintenance of Vanguards Code of Ethics and standard of conduct policies and procedures. Leads investigations of alleged violations of Vanguards ethical standards and noncompliance with applicable laws regulations and corporate policy issues.
Prepares written investigation and assessment reports and provides recommendations for improvement related to the integration of Vanguards Code of Ethics. Provides guidance to mitigate compliance risks and control gaps within the business.
Establishes oversight and operating policies and procedures. Develops and writes new compliance policies and procedures related to Vanguards Code of Ethics. Ensures compliance documentation and manuals are up to date and distributed.
Researches potential issues determines scope and communicates potential regulatory impact. Recommends practices to reduce potential for violations and noncompliance.
Serves as a consultant to the business. Provides advice and guidance for higher complexity matters in connection with people process technology and regulatory changes.
Identifies and tracks key measures metrics and trends for compliance and reporting. Proposes new measurement and research practices. Presents key findings and recommendations to senior management.
Develops and delivers compliance training and education to crew members and leaders. Recommends new content and delivery methods based on data driven insights.
Follows approved investigation procedures and reports on corrective actions. Collaborates with leaders to carry out higher complexity or nonroutine procedures or reporting.
Maintains a comprehensive 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 five years related work experience. Regulatory or compliance experience preferred.
Undergraduate degree or equivalent combination of training and experience.
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:
Senior IC
Employment Type
Full-Time
