Vanguard's funds and portfolios need to comply with global substantial shareholder disclosure requirements, investment guidelines, and affiliated transaction rules. This role is to build and maintain a comprehensive compliance library aligned with global regulatory standards.
Requirements
- Strong knowledge of investment products and derivatives.
- Proficient in fund accounting and financial data analysis.
- Comfortable working with large and complex data sets.
- Knowledge of the US 1940’s Fund Act preferred.
Responsibilities
- Creates and maintains a broad library of various compliance materials.
- Researches, reviews, and reconciles ownership compliance summaries, Vanguard prospectuses, SAI investment objectives, global sanctions' policy, adviser certifications, and procedures to ensure compliance with global regulatory requirements.
- Analyzes ownership compliance summaries and fund investment guidelines and translates information into rules for operating systems.
- Analyzes compliance regulations to ensure the library of all compliance documents and materials is updated and relevant.
- Analyzes complex transaction data across global jurisdictions.
- Analyzes portfolio holdings and trade data and identifies global substantial shareholder disclosures and compliance violations committed during the portfolio management process.
- Develops and maintains a broad knowledge of the post-trade compliance industry.
Other
- Writes and presents materials to internal and external partners.
- Shares requirements with internal and external vendors to elevate compliance rules into operating systems.
- Oversees the distribution of updated material to appropriate collaborators.
- Presents risk-related findings to leadership and appropriate stakeholders.
- Stays ahead of the current market, regulatory and industry news.
- Serves as a specialist on compliance-related matters.
- Acts as a liaison to regulatory agencies, third-party system vendors, and global bank service providers.
- Participates in special projects and performs other duties as assigned.
- Three years related business experience.
- Undergraduate degree or equivalent combination of training and experience.
- Vanguard is not offering visa sponsorship for this position.
