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Head of Compliance, Australia
4 months ago
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
The Head of Compliance will provide strategic leadership and direction over a dynamic and fast-paced compliance environment. As a key
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
The Head of Compliance will provide strategic leadership and direction over a dynamic and fast-paced compliance environment. As a key member of the senior leadership team, the successful candidate in this role will lead initiatives to enhance and embed effective and sustainable compliance risk management activities while developing and maintaining a comprehensive compliance program and resulting framework to protect Vanguard's reputation. Additionally, the individual in this role will work closely with the Head of the Office of General Counsel, Vanguard Australia, and applicable stakeholders to identify and respond to ongoing regulatory changes and implement required policies and procedures inclusive of appropriate operational and compliance oversight. The Head of Compliance is a member of the Office of General Counsel leadership team and senior leadership cohort of Vanguard Australia.
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.
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