Compliance Analyst, Specialist

Compliance Specialist

Are you excited by the opportunity to help shape something new, while being supported by a team of experienced peers? Vanguard's Cash+ Program is a first-of-its-kind offer, and we're looking for a Compliance Specialist to help establish the monitoring and testing function that will support it. In this role, you'll not only build the compliance foundation for a new product but also influence how the offer scales across the business. It's a unique opportunity to apply your banking regulation expertise in a dynamic, high-impact environment, while contributing to an established team that values collaboration, curiosity, and continuous improvement.

Responsibilities

• Completes routine monitoring and testing. Leads investigations of alleged violations of Vanguard's ethical standards and noncompliance with applicable laws, regulations and corporate policy issues. Serves as a partner to the business, and interfaces regularly with business area stakeholders and internal risk, audit, and compliance partners.
• Prepares written inspection and assessment reports and provides recommendations for improvement. Provides guidance to mitigate compliance risks and control gaps.
• Oversees the design, implementation, execution, and maintenance of compliance policies and procedures. Supports the development of new compliance standards.
• Identifies and implements corrective action plans for resolution of problematic issues. Recommends practices to reduce potential for violations and noncompliance.
• Manages operational efficiency. Sets measurable goals leveraging internal and external resources accordingly. Reports on the results of compliance and ethics initiatives of the business.
• Follows approved monitoring and testing procedures and reports on corrective actions.
• 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.
• Participates in special projects and performs other duties as assigned.

Qualifications

Special Factors

Sponsorship

Vanguard is not offering visa sponsorship for this position.

About Vanguard

At Vanguard, we don't just have a missionwe're 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.