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Investments Compliance Manager
4 months ago
Serve as a trusted Compliance advisor to Investments and Funds/ETF business stakeholders. Provide guidance and oversight of regulated activities across Investments and APAC trading markets. Support the development, implementation, and maintenance of compliance processes, as well as compliance monitoring functions.
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
Serve as a trusted Compliance advisor to Investments and Funds/ETF business stakeholders. Provide guidance and oversight of regulated activities across Investments and APAC trading markets. Support the development, implementation, and maintenance of compliance processes, as well as compliance monitoring functions.
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
Serve as a trusted Compliance advisor to Investments and Funds/ETF business stakeholders. Provide guidance and oversight of regulated activities across investment management trading in APAC markets. Support the development, implementation, and maintenance of compliance processes, as well as compliance monitoring functions.
Duties and Responsibilities
- Advise APAC Investments and Portfolio Management functions on applicable laws, regulations and corporate policies applicable. Serve as an advisor to these businesses, and interface regularly with relevant business area stakeholders and internal risk and compliance partners.
- Participate in business strategic initiatives, provide Compliance input and representation. Responsible for completing Compliance owned deliverables within the required timeframe.
- Manage regulatory visits and inspections. Prepare written inspection and assessment reports and provides recommendations for improvement. Provide guidance to mitigate compliance risks and control gaps.
- Oversee the design, implementation, execution, and maintenance of Investments related compliance policies and procedures. Support the development of new compliance standards.
- Review incidents and events reported including root cause and corrective action plans for resolution of problematic issues. Recommend practices to reduce potential for violations and noncompliance.
- Manage operational efficiency. Sets measurable goals leveraging internal and external resources accordingly.
- Maintain 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.
- Participate in special projects and perform other duties as assigned.
Qualifications
- Minimum of ten years related work experience, with at least five years within a financial services compliance function.
- Must have prior experience supporting investments management or trading teams.
- 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.
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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