Senior Compliance Analyst, Investment Advisers Act
Advance your career and our mission
Vanguard's core purpose is to take a stand for all investors, to treat them fairly, and to give them the best chance for investment success. In support of our innovative, multi-faceted and highly regulated business lines, Vanguard's Compliance Department encounters a wide range of complex issues while providing extraordinary, high-value business partnership and compliance support.
To support its growing and evolving investment offerings, you will support Vanguard's institutional advice compliance program by developing and maintaining departmental compliance processes, partnering with senior leaders to support regulatory exams for Vanguard Advisors, Inc. You will work within a dynamic compliance department and support Institutional Investor Services, primarily through mentorship and oversight related to regulated activities. Here, we grow by doing the right thing for the people we serve. And so can you. Are you ready to make a difference?
In this role, you will
- Maintain a deep knowledge and awareness of the investment industry and regulatory and/or policy changes with potential impact on compliance monitoring or reporting as it relates to retirement plan asset management and investment advice. Stay abreast of current market, regulatory and industry relevant news. Serve as a technical authority on compliance requirements impacting Institutional (Retirement Plan) Asset Management for qualified and non-qualified defined contribution and defined benefit retirement plans, endowments and foundations, including regulations under ERISA, the Internal Revenue Code, the Department of Labor (DOL), and the Pennsylvania Banking Code for trust companies. Develop a deep understanding of the related business areas, including applicable systems and software.
- Lead, manage, coordinate, and ensure readiness for regulatory examinations, responds to regulatory inquiries and requests, and serves as a contact for certain regulators, such as the U.S. Department of Labor. As appropriate, acts as a liaison with regulators and impacted business areas by preparing for meetings and coordinating the gathering and production of requested documents in connection with examinations or other regulatory inquiries.
- Partner with Office of the General Counsel colleagues to analyze and resolve potential compliance issues and changes in regulatory requirements. Protects and enhances Vanguard's reputation through continued efforts to strengthen and improve the firm's and individual business unit's compliance activities.
- Elevate issues and identifies priorities. Take initiative and utilize your creativity by recommending and implementing solutions to business contacts, senior leaders, and the Chief Compliance Officer.
- Foster, maintain, and broaden effective working relationships across Vanguard and with regulatory agencies.
- Participate in special projects and perform other duties as assigned.
What it takes
- Undergraduate degree or equivalent experience required. Graduate degree preferred.
- Five+ years business experience. Regulatory, compliance, and investment experience preferred.
- Broad understanding of Vanguard's business and the investment industry; knowledge of and experience with SEC, ERISA, IRS and DOL regulations as they relate to retirement plans preferred.
- Positive relationship management skills, including ability to interact with individuals at various levels internal and external to the company.
- Proven ability to function in a fast-paced, ambiguous environment while managing multiple and diverse responsibilities.
- Proven ability to develop and implement new business plans or change direction in a dynamic environment.
- Excellent judgment and decision-making skills; ability to analyze and respond to issues.
- Excellent verbal and written communication skills.
- Candidates holding FINRA licenses (e.g., FINRA series 6, 7, 26, 24) may be permitted to retain them
- Some travel for trainings, seminars and global coordination may be required.
- Vanguard is not offering visa sponsorship for this position.
We are Vanguard. Together, we're changing the way the world invests.
For us, investing doesn't just end in value. It starts with values. Because when you invest with courage, when you invest with clarity, and when you invest with care, you can get so much more in return. We invest with purpose - and that's how we've become a global market leader. Here, we grow by doing the right thing for the people we serve. And so can you.
We want to make success accessible to everyone. This is our opportunity. Let's make it count.
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.
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