Product Compliance Manager

4 weeks ago

Melbourne, Victoria, Australia The Vanguard Group Full time

As the Product Compliance Manager, you will be part of a senior compliance advisory team and serve as the primary contact for the Product and ETF Capital Markets teams. Your role involves supporting the development, implementation, and maintenance of compliance processes related to Vanguard's Australian funds and ETFs. You will act as a trusted advisor to the business, providing guidance and oversight of regulated activities.

About Vanguard

More than 45 years ago, John C. Bogle founded Vanguard with a vision to create a different kind of investment company. It has no external shareholders, and profits are reinvested to lower costs. Today, Vanguard is one of the world's largest investment management companies, serving over 50 million investors globally. Vanguard Australia has been supporting investors, financial advisers, and superannuation members for over 25 years.

Duties and ResponsibilitiesBusiness Support
  • Providing advice and challenge by assessing regulatory requirements and suggesting courses of action for business leads.
  • Offering compliance advice on documented controls and supporting product disclosures, including target marketing determinations.
  • Identifying and delivering compliance training needs, including maintaining online training materials.
  • Participating in special projects and other duties as assigned.
Compliance Policies and Procedures
  • Leading the review and maintenance of the Compliance Plan for Vanguard's managed investment schemes.
  • Designing and maintaining policies to address compliance risks and obligations, ensuring they are user-friendly for functions to deliver compliant outcomes.
Compliance Management Practices
  • Assessing complex incidents and breaches, supporting resolution and remediation activities.
  • Collaborating with the Compliance Reporting Team to prepare reports and attending management meetings, ensuring timely reporting of compliance issues.
  • Communicating regulatory developments and updating policies, processes, and training accordingly.
Stakeholder Management
  • Building and maintaining relationships with key stakeholders and auditors.
Qualifications and Experience
  • At least ten years of related experience, including seven years in financial services product management or compliance.
  • Knowledge of responsible entity, managed investment schemes, and ETF compliance obligations.
  • Strong communication skills, both written and verbal.
  • Proven ability to build stakeholder relationships.
  • An undergraduate degree or equivalent is required.
Inclusion Statement

Vanguard is committed to diversity and inclusion, guided by the principle of doing the right thing. We aim to build diverse teams that reflect our clients and communities, fostering collaboration and innovation.

How We Work

Vanguard has adopted a hybrid working model to balance flexibility with in-person collaboration, supporting our mission and enhancing the employee experience.

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