Head of Compliance, Australia

5 months ago

Melbourne, Australia Vanguard Group Full time

Head of Compliance, Australia

**About Vanguard**

More than 45 years ago, John C. Bogle had a vision to start an investment company that did things differently. A company with no external shareholders. Where all the profits were invested back into the business and used to lower costs. Evidently, it was as bold as it was brilliant. To this day, Vanguard Group still has no external shareholders. That means no share prices to protect, and no profits to generate for outside owners.

Today, Vanguard is one of the world's largest investment management companies, serving more than 50 million investors worldwide. For more than 25 years Vanguard Australia has been supporting individual investors, financial advisers, and more recently, superannuation members to achieve their long-term financial goals.

**The Team & Opportunity**

**In this role you will**:

- Coach, guide, and develop a team of legal and compliance professionals. Provide guidance, training, and motivation as necessary to develop employees (Vanguard crew). Set performance standards, review performance, provide feedback, and make informed compensation decisions in accordance with all applicable Human Resources policies and procedures.
- Provide strategic leadership in defining and implementing a compliance risk management framework to be executed by a team of compliance professionals. Direct compliance activities, that may include compliance monitoring, inspections, reporting, and quality assurance. Oversee investigations of alleged violations of Vanguard's ethical standards and noncompliance with applicable laws, regulations, and corporate policy issues.
- Partner with senior business leaders and stakeholders to educate as well as provide advice and training to ensure compliance with regulatory requirements.
- Oversee department preparation and coordination efforts leading up to regulatory visits. Serve as a primary liaison to examiners and regulatory agencies.
- Lead the development of compliance policies and procedures. Partner closely with leaders across the enterprise as well as colleagues in other risk and control functions across Vanguard to ensure the consistent implementation of compliance program standards and practices.
- Drive the identification and development of corrective action plans to resolve problematic compliance issues. Develop strategies and practices to reduce potential for violations and noncompliance. Report on corrective actions.
- Set standards and metrics for operational efficiency. Develop and deliver required reporting on compliance audits to business leaders and Vanguard's global Chief Compliance Officer. Manage the compliance department's record keeping program.
- Lead strategic compliance support related to business initiatives and new product launches.
- Maintain an expert knowledge and awareness of the investment, asset management and superannuation industries. Stay abreast of current market, regulatory and industry relevant news while building agility into compliance risk management activities to drive responsiveness.
- Serve as an expert and key resource related to compliance issues. Utilize deep expertise to lead a team and develop a response to complex compliance related issues.
- Act as a liaison to and key contact with regulatory agencies, in partnership with other stakeholders.
- Participates in special projects and performs other duties as assigned.

**What it Takes**:

- Minimum of eight years related work experience with at least five years in compliance. Supervisory regulatory experience in financial services or related industries is preferred but not essential.
- Undergraduate degree or equivalent combination of training and experience.
- A demonstrated history of effective and inclusive people leadership and strategic vision especially relating to compliance or audit activities is critical.
- A pragmatic and commercial mindset focused on issue identification and problem solving is essential.

**How We Work**

Vanguard has implemented a hybrid working model for the majority of our crew members, designed to capture the benefits of enhanced flexibility while enabling in-person learning, collaboration, and connection. We believe our mission-driven and highly collaborative culture is a critical enabler to support long-term client outcomes and enrich the employee experience.

Job ID 160556

  • Head of Australia Compliance and Risk

    6 months ago

    Melbourne, Australia Franklin Templeton Full time

    Head of Australia Compliance and Risk We are looking for a dynamic, high calibre **Head of Australia Compliance & Risk **to join our Regulatory Compliance team in Melbourne or Sydney, Australia. This role will manage the compliance and risk function for our Australian business, including managing a team of risk and compliance professionals. The incumbent...

  • Head of Risk and Compliance

    1 month ago

    Melbourne, Australia FNZ Group Full time

    Head of Risk and Compliance - Australia As the Head of Risk and Compliance - Australia, you will play a pivotal role in enabling FNZ Group to meet its strategic goals while protecting the organisation's value and reputation. You will be responsible for driving the development and implementation of FNZ's risk and compliance framework, ensuring it meets the...

  • Head of Australia Compliance and Risk

    6 months ago

    Melbourne, Australia Franklin Templeton Full time

    We are looking for a dynamic, high calibre **Head of Australia Compliance & Risk **to join our Regulatory Compliance team in Melbourne or Sydney, Australia. This role will manage the compliance and risk function for our Australian business, including managing a team of risk and compliance professionals. The incumbent will report to Head of APAC Compliance...

  • Head of Risk and Compliance

    1 month ago

    Melbourne, Australia AU | FNZ (Australia) Pty Limited Full time

    As the Head of Risk and Compliance – Australia, you will play a pivotal role in enabling FNZ Group to meet its strategic goals while protecting the organisation’s value and reputation. You will be responsible for driving the development and implementation of FNZ’s risk and compliance framework, ensuring it meets the standards expected by clients and...

  • Head of Compliance

    5 months ago

    Melbourne, Australia Sharp & Carter Full time

    Newly created role - Fast paced and dynamic environment - Diverse and challenging opportunity **About Our Client**: Our client is an industry leader with a vision to revolutionise trading. With a commitment to providing traders around the world with cutting-edge technology and exceptional client experiences, our client has become a prominent player in...

  • Head of Legal

    6 months ago

    Melbourne, Australia Gilead Sciences Full time

    For Current Gilead Employees and Contractors: At Gilead we believe every employee deserves a great leader. As a people leader now or in the future, we expect that you will model and create an environment of inclusion, be intentionally focused on the hiring, development, growth and retention of talent, and empower teams to align and achieve goals. **Job...

  • Head of Compliance and Designated AML Officer

    1 month ago

    Melbourne, Victoria, Australia Capital Com Australia Limited Full time

    Job Title: Head of Compliance and Designated AML OfficerJob Summary:We are seeking a highly skilled and experienced Head of Compliance and Designated AML Officer to join our team at Capital Com Australia Limited. As a key member of our compliance department, you will be responsible for leading the development and implementation of our compliance practices...

  • Head of Risk and Compliance

    1 month ago

    Melbourne, Victoria, Australia AU | FNZ (Australia) Pty Limited Full time

    Job DescriptionAs the Head of Risk and Compliance, you will play a pivotal role in enabling FNZ Group to meet its strategic goals while protecting the organisation's value and reputation. You will be responsible for driving the development and implementation of FNZ's risk and compliance framework, ensuring it meets the standards expected by clients and...

  • Head of Legal

    5 months ago

    Melbourne, Australia Sharp & Carter Full time

    Salary $250,000K + - Market leader within its space - Exceptionally well regarded leadership team **About our Client**: Our client is a highly regarded biopharmaceutical entity which is listed on the NASDAQ and which continues to go from strength to strength. **About the role**: The Head of Legal & Compliance role is responsible for legal and compliance...

  • Head, Regulatory and Compliance

    6 months ago

    Melbourne, Australia GXE Full time

    **About us**: GXE is the end-to-end platform for Investment Funds, Family Offices and Syndicates. GXE’s mission is to provide digital infrastructure and services for Trustee Services, Custody and Fund Administration. We provide investors, asset and fund managers with the tools they need to succeed and enable them to focus on their portfolios and investors...

  • Head of Compliance

    2 weeks ago

    Melbourne, Australia Farrer Capital Management Full time

    About Us Farrer Capital is a rapidly expanding global commodities hedge fund, dedicated to serving institutional clients by providing market leading results. Our goal is to produce exceptional returns facilitated by an investment research process that leverages our domain expertise across global commodity markets, supply and demand analysis and a novel AI...

  • Head of Security, Compliance, Regulatory

    5 months ago

    Melbourne, Australia NAB - National Australia Bank Full time

    **Work type**: Permanent Full time **Region**: VIC- Melbourne CBD - Take a leadership role where you’ll inspire and energise your team - Bring your ideas, ambitions, and passions - both in and outside of work - Your work at NAB changes the future of banking and you will be part of a team that is solving society’s biggest challenges **It’s more than a...

  • Head of Operations Australia

    5 months ago

    Melbourne, Australia Nordex SE Full time

    **Head of Operations Australia**: - REQUISITION ID: 7636- LOCATION: Melbourne, AU, 3000- DEPARTMENT: Project Management (Site Management / Erection / I**Job purpose and Main Tasks** Leading the Australian PM and Service teams, the Head of Operations Australia is responsible for the complete operational performance. The role is responsible for ensuring that...

  • Head of Sourcing and Compliance

    4 weeks ago

    Melbourne, Victoria, Australia Brand Collective Full time

    Job SummaryThe Head of Sourcing & Technical Compliance is a senior leadership position responsible for managing the entire product lifecycle from purchase order to delivery, ensuring that final products meet regulatory standards and quality expectations. This role is a key member of the Brand Collective team, responsible for driving operational excellence,...

  • Head of Risk and Compliance, Investments

    2 weeks ago

    Melbourne, Australia Cbus Full time

    Head of Risk and Compliance, Investments (2nd Line) **About Cbus** Created by workers, for workers, Cbus Super is one of Australia's most successful Superannuation funds. For almost four decades we've proudly represented those who help shape Australia, hard-working individuals who deserve to make the most of their retirement, no matter the industry. As an...

  • Head of Building Maintenance and Compliance

    6 months ago

    Melbourne, Australia Australia Post Full time

    **Help us deliver for Australia** Australia Post is delivering for Australia. From the vehicles that we drive, to the small businesses that make our communities thrive. We’re delivering for the environment, for our communities, for our customers, and for our people. We’re moving forward and we want you to come along for the ride. **About the...

  • Head of Transfer Agency, Australia

    3 months ago

    Melbourne, Australia SS&C Technologies Full time

    Head of Transfer Agency, Australia SS&C is a global provider of investment and financial services and software for the financial services and healthcare industries. Named to Fortune 1000 list as top U.S. company based on revenue, SS&C is headquartered in Windsor, Connecticut and has 20,000+ employees in over 90 offices in 35 countries. Some 18,000 financial...

  • Head of Business Intake and Compliance

    3 weeks ago

    Melbourne, Victoria, Australia Corrs Chambers Westgarth Full time

    Role OverviewThe Head of Business Intake and Compliance will be responsible for leading the design, implementation, and ongoing review of the firm's Anti-Money Laundering/Counter-Terrorism Financing (AML/CTF) program. This includes providing strategic direction, overseeing the implementation of policies and procedures, and ensuring compliance with relevant...

  • Energy Australia Regulatory Compliance Strategist

    2 weeks ago

    Melbourne, Victoria, Australia Energy Australia Full time

    About UsAt Energy Australia, we're driving the clean energy transformation. Our purpose is to lead and accelerate this transition for all Australians.We need a talented Regulatory Engagement and Reporting Lead to join our Legal and Governance team. As a key player in our Regulatory Compliance team, you'll define enterprise-wide policies and processes that...

  • Head of Compliance and Designated AML Officer

    1 month ago

    Melbourne, Victoria, Australia capital Full time

    Job Title: Head of Compliance and Designated AML OfficerAbout the Role:We are seeking a highly skilled and experienced Head of Compliance and Designated AML Officer to join our team. As a key member of our organization, you will be responsible for leading our compliance efforts and ensuring that our business practices align with regulatory requirements.Key...