Fixed Income Trading Compliance and Controls - Senior Analyst

The Senior Analyst will provide global operational risk management leadership for Investment Management Group (IMG) through the design and governance of operational risk management strategies. Collaboration and periodic support for global operational risk functions in all regions.

Duties and Responsibilities:

  • Leading the review, validation and enhancement of compliance rules within the Order Management Systems (CRD and BlackRock Aladdin) to ensure all regulatory requirements, prospectus rules and investment directive(s) are met.
  • Working with the PMs / Traders to implement additional alerts / warnings which will improve efficiency / effectiveness of the PM lifecycle and reduce risk.
  • Leading regular readouts to Senior Leaders across the investment group and other key partners (e.g. Legal and Compliance) on the effectiveness of the pre-trade compliance program.
  • Decision input into the trades when a pre-trade alert Is flagged.
  • Monitoring of overnight portfolio alerts and warnings and performing trend analysis to identify if amendments are needed.
  • Strategic 'initiative' work - constantly be working with PMs and Traders to fundamentally improve how things work.
  • Performing reviews of controls within Execution Management Systems (EMS) on a periodic basis and proposing enhancements where needed.
  • Developing appropriate 'forensic' tests to highlight potential areas of concern pertaining to trading compliance.
  • Determining the alerts / warnings that may be required for new funds as they launch.
  • Ideally have experience of coding within the Order Management Systems.
  • Ideally have experience of developing workflow monitors within the Order Management Systems.


  • Undergraduate degree or equivalent combination of training and experience.
  • Minimum of five or more years of related and progressive work experience.
  • Knowledge of Equity and Fixed Income Order Management Systems preferred.
  • Professionalism in managing multiple priorities and performing complex analysis under tight deadlines.
  • Strong working knowledge of mutual funds and investment operations or investment systems.
  • Excellent verbal and written communication skills.
  • Experience designing, building and assessing operational risk, compliance and controls program.
  • Proven ability to interact and build effective working relationships with peers and senior management.
  • Expertise in MS Office applications.
  • Sound business judgment, ability to influence others, and ability to apply practical thinking.

Vanguard is not offering visa sponsorship for this position.

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