Financial Crimes Compliance Manager

**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 superannuation members to achieve their long-term financial goals.

**Team & Opportunity**

We are on the lookout for our next team-member to come and join Vanguard’s Financial Crimes Compliance team in 2nd line risk as a Manager, Customer and Transaction Monitoring. In this role you will support the Head of Financial Crimes Compliance and to ensure our Anti-Money Laundering and Counter-Terrorism Financing (AML/CTF) obligations are met. In this role you will be responsible for developing, maintaining and overseeing the transaction monitoring program and high-risk clients through support and oversight of the financial crime operations team for Vanguard Australia.

**Core Responsibilities**
- Develop, maintain, and oversee the Transaction Monitoring program, including the fine tuning of rules to match the risks and typologies faced by Vanguard.
- Identifying new and emerging financial crime risk, trends and techniques Vanguard may encounter
- Leading the identification of risks, risk indicators, typologies and other trends, to provide advice on likelihood and mechanisms of criminal exploitation of Vanguard’s products, services and channels
- Contribute to advise on the effectiveness of risk controls.
- Escalation point for Financial Crime Operations team for KYC, ECDD and SMRs, including being a key party to Financial Crime working group and Senior Manager Approval forums.
- Manage and coordinate the response and escalation of regulatory and law enforcement requests.
- People management and developing new talent
- Forming and maintaining relationships with government and industry partners.
- Establish strong working relationships and good operating rhythms across all of Vanguard Australia’s
- business lines.

**Qualifications**
- Minimum seven years’ experience in financial crime, AML/CTF, regulator (AUSTRAC), government, banking or related industry.
- Demonstrated experience and knowledge of leading/managing a transaction monitoring program and data driven assessments.
- Proven experience in enhanced customer due diligence process/program, financial crime intelligence, and senior management approval governance / framework.
- Professional and sound judgment, particularly in creating accurate assessments, insights and conclusions that support senior decision making; and managing competing priorities and escalations
- Strong communication skills, including the ability to communicate simply and with influence.
- People managing experience
- A clear and well founded concept of the financial crime risks that would effect Vanguard, today and with a view to be proactive to mitigate future risks

**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.

**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.