Superannuation Compliance Manager

2 weeks ago

Melbourne, Australia Vanguard Full time

As the Superannuation Compliance Manager, you will be part of a senior compliance advisory team and be the primary contact for the Superannuation Team. Supports the development, implementation, and maintenance of compliance processes, as well as compliance monitoring functions. Serves as a trusted advisor to the business and provides guidance and oversight of regulated activities

**About Vanguard**

Vanguard Australia has been helping investors achieve their long-term financial goals for over 20 years. Serving institutional and individual clients, and financial advisers, we offer investment solutions that are low-cost, diversified and robust through time.

With more than AUD $11 trillion in assets under management Vanguard is one of the world’s largest global investment management companies. In Australia we partner with institutional clients, financial advisers and individual investors to offer low-cost investment solutions. Our comprehensive range of managed funds, exchange traded funds (ETFs) and tailored investment solutions are built to support long-term investment success for our clients.

**Team and Opportunity**

As the Superannuation Compliance Manager, you will be part of a senior compliance advisory team and be the primary contact for the Superannuation Team. Supports the development, implementation, and maintenance of compliance processes, as well as compliance monitoring functions. Serves as a trusted advisor to the business and provides guidance and oversight of regulated activities.

**Core Responsibilities**
- Providing advice and counsel to the Superannuation team to ensure adequacy of regulatory and business requirements and provide verification sign-off for product disclosure statements.
- Identifying & training the business on applicable regulatory obligations pertaining to Compliance risk.
- Participate in project workstreams to evolve Vanguard’s superannuation compliance offer.
- Assisting with assessment of complex incidents and breaches.
- Providing advice & challenge by assessing the regulatory requirements for responsible business lines and suggesting courses of action for business leads to make informed decisions.
- Design and maintenance of policies and procedures to address the identified Compliance risks as to how the business line conducts its operations.
- Providing compliance advice & challenge on the sufficiency of documented controls.
- Communicate new regulatory developments and requirements. Effect timely changes to policies processes and training to take account of regulatory changes.
- The Superannuation Compliance Manager will also collate information required, and work in collaboration with the Governance Reporting Team, to prepare Compliance reports and attend various steering committees & management meetings. They will be accountable for the reporting on a timely basis of any significant compliance issues and internal compliance initiatives.
- Maintains a deep knowledge and awareness of the investment industry. Stays abreast of current market, regulatory and industry relevant news. Serves as an expert on compliance related issues.
- Performs other duties as assigned.

**Qualifications**
- Minimum of ten years related work experience, with a superannuation compliance focus.
- Undergraduate degree or equivalent combination of training and experience.

**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 for investment success.

**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);

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