Fund Compliance Analyst - US Fund Policies

Leads and performs business unit compliance inspections. Supports the development, implementation, and maintenance of compliance processes, as well as compliance monitoring related to Vanguard's mutual funds, shareholder accounts, and registered investment advisors. Serves as a trusted advisor to the business. Provides guidance and oversight of regulated activities.

Core Responsibilities

• Oversees routine monitoring and inspections related to Vanguard's mutual funds, shareholder accounts, and registered investment advisors. Leads investigations of alleged violations of Vanguard's ethical standards and noncompliance with applicable laws, regulations and corporate policy issues. Serves as advisor to the business. Coordinates with business stakeholders and internal risk and compliance partners.
• Prepares written inspection and assessment reports and provides recommendations for improvement. Provides guidance to mitigate compliance risks and control gaps.
• Tests compliance oversight and operating policies and procedures for effectiveness of regulatory compliance controls. Participates in developing and writing new compliance policies and procedures. Ensures compliance documentation and manuals are up to date and distributed across the business.
• Researches potential issues, determining scope and potential regulatory impact. Recommends practices to reduce potential for violations and noncompliance related to Vanguard's mutual funds, shareholder accounts, and registered investment advisors.
• Follows approved investigation procedures and reporting on corrective actions. Maintains a comprehensive knowledge of the investment industry. Stays abreast of current market, regulatory and industry relevant news. Serves as an expert on compliance related issues. Interacts as a liaison to regulatory agencies.
• Participates in special projects and performs other duties as assigned.

• Minimum of five years related work experience. Regulatory, compliance, investment, or auditing experience preferred. Supervisory experience preferred.
• Undergraduate degree or equivalent combination of training and experience.