Sr. Compliance Analyst - Code of Ethics

To provide Compliance guidance and support to ensure activities are conducted in accordance with all applicable regulatory requirements and firm policies and procedures.

Duties and Responsibilities

  • Serves as a trusted specialist and works collaboratively with the business to develop policies, procedures and controls designed to ensure compliance with applicable laws and regulations. Provides guidance in connection with people, process, technology and regulatory changes. Assists the business in the resolution of issues.
  • Participates in compliance oversight efforts and projects, including inspections and procedure reviews, across the company. Looks for opportunities to continually improve the Compliance Program. Utilizes risk management techniques and business area knowledge to develop, maintain and test relevant policies and procedures. Handles multiple assignments simultaneously from conception through execution and implementation of recommendations. Coordinates, prioritizes and actively manages tasks as needed to meet deadlines.
  • Presents key findings and recommendations to business management and Compliance management. Elevates issues, identifies priorities. Tracks follow-up items to ensure they are appropriately resolved. Demonstrates initiative and creativity in recommending and implementing solutions to business contacts and Compliance management.
  • Develops, maintains and broadens effective working relationships across applicable business areas and external business partners. Fosters lines of communication between, and with, business contacts, the Legal Department, Compliance Department colleagues, risk personnel and control groups. Participates in activities and efforts as required with other Compliance teams and business partners.
  • Develops and maintains a broad knowledge and awareness of the investment industry and regulatory and/or policy changes with potential impact on compliance monitoring or reporting. Stays abreast of current market, regulatory and industry relevant news. Serves as a technical expert on FINRA, SEC, and MSRB regulations, and all other applicable compliance requirements. Develops technical expertise around broker dealer activities as well as a deep understanding of applicable systems and software.
  • Assists in supporting inspections as necessary and helps prepare appropriate management reporting.
  • Participates in developing and delivering training and education to the business, including presentations at staff meetings and formal VU trainings.
  • Researches and responds to requests for information or complaints from regulators as needed. Assists with the preparation of meetings and the gathering and production of requested documents in connection with regulatory examinations or other regulatory inquiries. Compiles, reviews and submits data to fulfill regulatory reporting.
  • As necessary, supports review and monitoring of electronic communications to ensure compliance with applicable rules or Vanguard policies. Elevates identified issues as appropriate. Participates in and actively supports corporate initiatives like Vanguard Unmatchable Excellence, Gallup Action Planning, etc.
  • Participates in special projects and performs other duties as assigned.
  • Participates in and actively supports corporate initiatives like Vanguard Unmatchable Excellence, Gallup Action Planning, etc.
  • Participates in special projects and performs other duties as assigned.


Qualifications

  • Undergraduate degree or equivalent experience preferred.
  • Minimum three years business experience. Regulatory, compliance, investment, or auditing experience preferred.
  • Broad understanding of Vanguard's broker dealer business and the broker dealer industry; knowledge of and experience with SEC, FINRA, OCC and MSRB regulations preferred.
  • Excellent relationship management skills, including ability to interact with individuals at various levels internal and external to the company.
  • Demonstrated ability to function in a fast-paced, ambiguous environment while managing multiple and diverse responsibilities.
  • Proven ability to 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.
  • Familiarity with and experience in using relevant broker dealer systems and applications, as applicable.


Special Factors

One position is available. Candidates in PA and AZ will be considered.

Vanguard is not offering visa sponsorship for this position.

The position is considered a \"Fund Access Person\" position under Vanguard's Code of Ethics (See CrewNet); some travel, for trainings, seminars and global coordination, may be required; and, crew holding FINRA licenses (e.g., FINRA series 6, 7, 26, 24, etc.) will be permitted to retain them.


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