Leads and performs 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.

　　About Vanguard

　　More than 45 years ago, John C. Bogle had a vision to start an investment company that did things differently. A company with no external shareholders. Where all the profits were invested back into the business and used to lower costs. Evidently, it was as bold as it was brilliant. To this day, Vanguard Group still has no external shareholders. That means no share prices to protect, and no profits to generate for outside owners.

　　Today, Vanguard is one of the world’s largest investment management companies, serving more than 50 million investors worldwide. For more than 25 years Vanguard Australia has been supporting individual investors, financial advisers, and superannuation members to achieve their long-term financial goals.

　　Team & Opportunity

　　Supports the development, implementation, and maintenance of compliance processes, as well as compliance monitoring functions. Identifies compliance data sources, leads the generation of information and insights via collection and organisation of data into usable and meaningful compliance reports. Serves as a trusted advisor to the business and provides guidance and oversight of regulated activities.

　　Core Responsibilities

　　Serves as advisor to the business, coordinates with business area stakeholders and internal risk and compliance partners.

　　Identifies compliance data sources, prepares research and analysis and reports for Management, Committee and Boards.

　　Identifies discrepancies in collected data and possible solutions.

　　Assists the team with the preparation of regulatory reporting requirements including regulatory documentation with ASIC, ASX, APRA and ATO as required.

　　Participates in testing of compliance oversight and operating policies and procedures for effectiveness of regulatory compliance controls. Provides guidance to mitigate compliance risks and control gaps.

　　Participates in developing and writing new compliance policies and procedures.

　　Ensures compliance documentation and manuals are up to date and distributed.

　　Prepare and lead compliance training as required.

　　Researches potential issues, determines scope, and potential regulatory impact. Recommends practices to reduce potential for violations and non-compliance.

　　Follows approved investigation procedures and reports on corrective actions.

　　Maintains a broad knowledge of the investment and superannuation industry. Stays abreast of current market, regulatory and industry relevant news. Acts as a liaison to regulatory agencies.

　　Provides relevant compliance advice to key stakeholders within the business.

　　Participates in special projects including Strategic Enablement initiatives.

　　Performs other support duties as assigned.

　　Qualifications

　　Five years related work experience. Regulatory, compliance, investment, or auditing experience preferred.

　　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.

　　Inclusion Statement

　　Vanguard’s 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 Vanguard’s 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 Vanguard’s core purpose.

　　Our core purpose: To take a stand for all investors, to treat them fairly, and to give them the best chance for investment success.

　　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.

　　Vanguard, one of the world's largest investment management companies, serves individual investors, institutions, employer-sponsored retirement plans, and financial professionals. We have a diverse and talented crew with a culture that promotes teamwork, along with an unwavering focus on serving our clients' best interests.

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