Senior Compliance Monitoring Advisor – European Risk-Based Monitoring Team

The Role

With an ambitionofcontinued growth across Europe and a coreobjectiveof delivering superior outcomes to our customers and clients an exciting opportunity has arisen for an experienced compliance professional to join our expanding European Monitoring & Testing (M&T) team. The team delivers riskbased highimpact inspections across all European legal entities. You will play a pivotal role in shaping the future of our monitoring program as we continue to align to global methodologies enhance our dataled approach and strengthen synergies with US Testing & Methodology teams.

You will lead complex full scope and focused inspections coach and upskill colleagues across the team and provide influential insights that help protect our clients strengthen our control environment and support regulatory excellence across Europe. Your work will directly support execution of the European Compliance Monitoring Plan developed and aligned to the Global M&T Framework.

In this role you will

• Lead highcomplexity full scope or focused inspections including offsite visits to third parties or other Vanguard offices applying the European riskbased methodology and globally consistent documentation standards

• Design the inspection scope using relevant inputs such as the Compliance Risk Assessment and identify regulatory key risk drivers regulatory requirements and business context

• Undertake and oversee fieldwork execution including control design assessments walkthroughs testing sampling and documentation to M&T standards

• Produce highimpact written reports and provide clear riskaligned recommendations to address control weaknesses

• Partner with the M&T Manager to develop and embed datadriven testing approaches including leveraging analytics dashboards risk scoring and automation to enhance inspection depth and efficiency

• Support the M&T Manager by providing daytoday coaching technical guidance and skills development to the team helping them elevate documentation testing quality and analytical capability

• Support uplift of team capability through knowledgesharing methodology training and contributing to updates to procedures and frameworks

• Contribute to the monitoring strategy including process improvements technology enhancements and alignment initiatives with US Testing & Methodology teams to build global consistency

• Support development of the annual plan by reviewing Compliance Risk Assessment outputs identifying thematic opportunities and helping prioritise inspection coverage across Europe

• Build strong relationships with Compliance Advisory Internal Audit Risk and business leaders to ensure effective prioritisation across the Monitoring Plan avoiding duplication with other 2nd and 3rd line teams providing effective combined assurance

What it takes

• The role requires strong technical capability strategic thinking and leadership qualities

• Deep experience in compliance monitoring testing audit or risk assurance within financial services

• Strong understanding of regulatory frameworks and the ability to interpret controls processes and risk drivers across diverse business areas

• Strong understanding of asset management distribution and trading regulations in both UK and Europe

• Ability to apply the Monitoring & Testing Procedure the Monitoring Methodology and the Global M&T Framework to shape and deliver highquality inspections

• Strong analytical and problemsolving skills with the ability to leverage data dashboards and technology to enhance inspection effectiveness and tell a compelling risk story

• Demonstrated ability to coach mentor and develop less experienced team members

• Strong communication and influencing skills to articulate inspection outcomes challenge constructively and engage confidently with senior stakeholders

• Ability to anticipate risk themes contribute to annual plan development and support improvements to monitoring strategy and processes

• Comfortable operating within a global model - working in a team split across different locations collaborating with US and European partners on consistent methodology and delivery

Special Factors

• Vanguard is not offering sponsorship for this position

• This is a hybrid position and would require you to work in the office 3 days per week (Tuesday Wednesday & Thursday)

Why Vanguard

Vanguard is a different kind of investment company. It was founded in the United States in 1975 on a simple but revolutionary idea: that an investment company should manage its funds solely in the interests of its clients.

This is a philosophy that has helped millions of people around the world to achieve their goals with low-cost uncomplicated investments.

Its what we stand for: value to investors.

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: to take a stand for all investors to treat them fairly and to give them the best chance for investment success.

Our commitment to equal employment opportunity

Vanguard is an equal opportunity employer. Vanguard is committed to providing all crew members a working environment that is free from discrimination prejudice and bias. Through this Equal Employment Opportunity (EEO) Policy Vanguard reaffirms its commitment to equal employment opportunity for all applicants and crew members without regard to race color national origin or ancestry religion gender sex sexual orientation gender identity or expression age disability marital status veteran or military addition Vanguard prohibits discrimination based on genetic information as well as any other characteristic protected by federal state or local law.

Applicants with disabilities may be entitled to reasonable accommodation under the Americans with Disabilities Act and certain state or local laws. A reasonable accommodation is a change in the way things are normally done which will ensure an equal employment opportunity without imposing undue hardship on Vanguard. Please informif you need assistance completing this application or to otherwise participate in the application process.

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.