Regulatory Advisor
6 days ago
We are seeking a Regulatory Advisor to join our team at Vanguard Australia. As a trusted advisor to Funds and ETF business stakeholders, you will provide guidance and oversight of regulated activities across our Funds suite, supporting the implementation and maintenance of our compliance program and processes.
About Vanguard:
Vanguard Group is one of the world's largest investment management companies, serving more than 50 million investors worldwide. Our unique ownership structure allows us to focus on delivering long-term value to our clients, rather than generating profits for external shareholders.
Responsibilities:
- Provide advice on applicable laws, regulations, and corporate policies to Product Offer - Investment Products.
- Support the implementation and execution of Investments related compliance policies and procedures.
- Manage regulatory visits and inspections, preparing written inspection and assessment reports.
- Undertake compliance reviews of regulated disclosures, including notices and product disclosure statements.
Requirements:
- Minimum of five years related work experience and prior asset/funds management compliance experience or experience in product management for Funds or ETFs.
- Prior experience with compliance obligations relating to Responsible Entities, Managed Investment Schemes, ETFs, DDO, and the PDS regime.
- Undergraduate degree or equivalent combination of training and experience.
How You'll Make a Difference:
As a Regulatory Advisor, you will have the opportunity to make a significant impact on our compliance program, ensuring that we maintain a strong control environment and mitigate compliance risks. You will work closely with our risk, legal, and other compliance advisors to achieve this goal.
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