Sr. Fund Compliance Analyst

To monitor Vanguard's portfolios to ensure compliance with regulatory rules and to be the first point of review for team functions.

In this role you will:

  • Monitor the data coverage and quality necessary for the integrity of compliance monitoring.
  • Complete daily post-trade compliance functions as measured by department dashboards. Serve as a senior resource to analysts regarding monitoring Vanguard Fund's compliance with regulatory (1940 Act, IRC, UCITS, NI 81-102) requirements and internal Sourcebook procedures. Act in a reviewer capacity, as needed, to ensure the accuracy and quality of others' work.
  • Assist with the analysis of warnings and alerts associated with global fund investment guideline limitations. Independently resolve incidents/breaches through collaboration with responsible functional team. If necessary, summarize findings clearly and concisely in breach memos for management review and dissemination to the Depository, Board of Directors, and FFS Senior Management.
  • Prepare materials for the quarterly compliance Board of Directors report. Monitor global regulations based on Vanguard's investment discretion and voting power for ownership in all applicable countries.
  • Analyze and oversee global bank service provider compliance monitoring results for Vanguard's non-US funds. Independently coordinate with global middle office, risk management group, and service providers to resolve incidents/breaches. Act in a reviewer capacity, as needed, to ensure the accuracy and quality of others' work.
  • Provide support for internal audit engagements, global compliance limitations inspections, and bank service provider due diligence visits.
  • Develop and coach other crew members. Act as on-the-job trainer and updates training documentation. Provide assistance and training support for new crew.
  • Support department fund initiatives to ensure operational readiness.
  • Participate in special projects and performs other duties as assigned.


Qualifications

  • Undergraduate degree or an equivalent combination of training and experience.
  • Minimum three years of general business experience. Regulatory, compliance or auditing experience preferred.


Special Factors

Vanguard is not offering visa sponsorship for this position.


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