Compliance Analyst, Specialist

Oversees compliance inspections. Supports the development, implementation, and maintenance of compliance processes, as well as compliance monitoring functions. Serves as a trusted advisor to the business and provides guidance and oversight of regulated activities.

Core Responsibilities

1. Oversees routine monitoring and inspections. Leads investigations of alleged violations of Vanguard's ethical standards and noncompliance with applicable laws, regulations and corporate policy issues. Serves as an advisor to the business, and interfaces regularly with business area stakeholders and internal risk and compliance partners.

2. Manages regulatory visits and inspections. Prepares written inspection and assessment reports and provides recommendations for improvement. Provides guidance to mitigate compliance risks and control gaps.

3. Oversees the design, implementation, execution, and maintenance of compliance policies and procedures. Supports the development of new compliance standards.

4. Identifies and implements corrective action plans for resolution of problematic issues. Recommends practices to reduce potential for violations and noncompliance.

5. Manages operational efficiency. Sets measurable goals leveraging internal and external resources accordingly. Reports on the results of compliance and ethics initiatives of the business.

6. Follows approved investigation procedures and reports on corrective actions.

7. Maintains a deep knowledge and awareness 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.

8. 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.
• Undergraduate degree or equivalent combination of training and experience.
• This job requires a regulatory license and/or registration (e.g. FINRA, state, SFC). These will be determined by Compliance based on role-specific duties.

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.