Compliance Analyst

Job Description

In this role, you will:

• Support the Dublin based Compliance Team / Designated Person on CP86 Compliance including management function reporting.
• Update and action the Compliance Calendar and Kanban
• Respond to compliance inquiries on Distribution, AFC and mandate compliance by proactively recommending practices to reduce violations or noncompliance. Lead the preparation of action plans for remediation.
• Participate in developing and writing new compliance policies and procedures. Ensure compliance documentation and manuals are up to date and distributed.
• Develop and maintain a broad knowledge of the investment industry and CBI regulation. Keep abreast of the current market, regulatory and industry news. Serves as a specialist on compliance related issues.
• Participates in special projects and engage with colleagues in European Compliance and Risk.

What it takes

• Minimum of three years related work experience. Management Company/DP support/ Asset Management compliance experience preferred.
• Undergraduate degree or equivalent combination of training and experience.

Special Factors

• Vanguard is not offering visa sponsorship for this position

INTERNAL CREW, CONTRACTOR & DIRECT APPLICATIONS ONLY.

Please note, current suppliers and potential suppliers are not permitted to communicate with or contact or send or otherwise provide any speculative resumes to any department, business unit, subsidiary or affiliate of Vanguard, or any employee thereof, at any time unless expressly instructed or permitted by a member of Vanguard’s HR department. For the avoidance of doubt, Vanguard will not pay any fees to a supplier or potential supplier in respect of any candidate unless Vanguard HR has either requested the referral or given its prior written consent to the referral. If you would like to partner with Vanguard Europe, please contact [email protected]

About Vanguard

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.

Inclusion Statement

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

Future of Work

During the pandemic, we transitioned to a work from home model for the majority of our crew and we continue to interview, hire, and on-board future crew remotely.

As we have developed the path forward, we have taken a thoughtful approach that both maximizes the advantages of working remotely and the many benefits of coming together and collaborating in a shared workspace. We believe that in-person interactions among our crew are important for preserving our unique culture and advantageous for the personal development of our crew.

When our Crew return to the office, many will work in our hybrid model. A smaller proportion of our crew will operate in the Work from Home work model (for example, field sales crew); or in the Work from Office model (for example, portfolio managers).

The working model that your role falls into will be communicated to you in the interview process – please do ask if you are unsure. We encourage you to make the decision regarding your job interview and offer knowing which model your role will fall into. We will test and learn as our ways of working evolve and will continue to evaluate working models along the way.