Senior Compliance Advisor

Compliance Advisor

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

Core Responsibilities

• Serves as an experienced advisor to the business, and interfaces regularly with business unit stakeholders and internal risk and compliance partners
• Manages regulatory visits, exams, inquiries and investigations within the business. 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.
• Manages operational efficiency. Sets measurable standards leveraging internal and external resources accordingly.
• Serves as an expert on compliance related issues.
• Participates in special projects and performs other duties as assigned.

Preferred Qualifications

Qualifications

Special Factors

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.