Responsible for the development implementation and maintenance of compliance processes and program activities. Performs complex compliance inspections. Serves as a trusted advisor to the business and provides guidance and oversight of regulated activities.
Join a dynamic and highly collaborative compliance team that plays a critical role in safeguarding the integrity of Vanguards pooled investment vehicles including those focused on alternative assets. In this influential role you will lead the development implementation and ongoing refinement of compliance programs that ensure our business operates with the highest ethical and regulatory standards.
As a trusted advisor to senior leaders and cross-functional partners you will conduct complex compliance inspections guide strategic decision-making and provide oversight of regulated activities across the organization. Your deep industry knowledge investigative expertise and proactive mindset will help shape robust controls strengthen operational resilience and drive a culture of compliance excellence.
You will also represent Vanguard in regulatory engagements navigate emerging rules and industry developments and provide forward-looking insights that support new product launches and innovative investment strategies. This is a high-impact role for a seasoned compliance professional who thrives in a fast-paced environment enjoys solving complex challenges and is committed to upholding trust transparency and accountability.
Core Responsibilities
Responsible for maintaining and revising policies and procedures for the general operation of the compliance program for pooled investment vehicles focused on alternative assets including closed-end interval funds and private investment funds. Oversees the design implementation execution and maintenance of new compliance standards including those related to private market investments.
Conducts routine monitoring and inspections including investigations of alleged violations of Vanguards ethical standards and noncompliance with applicable laws regulations and corporate policy issues. Partners with business leaders and stakeholders to provide advice and ensure compliance with regulatory requirements.
Manages regulatory visits and complex investigations. Oversees the preparation of written inspection and assessment reports and provides recommendations for improvement. Oversees the implementation of compliance controls to ensure gaps are closed.
Identifies and implements corrective action plans for resolution of complex problematic issues. Recommends practices to reduce potential for violations and noncompliance.
Manages and evaluates operational efficiency. Sets measurable goals leveraging internal and external resources accordingly. Reports on the results of compliance and ethics initiatives of the business.
Provides strategic compliance support for business initiatives and new product launches related to pooled investment vehicles focused on alternative assets including closed-end interval funds and private investment funds.
Follows approved investigation procedures and reports on corrective actions.
Maintains an expert knowledge and awareness of the investment industry. Stays abreast of current market regulatory and industry relevant news. Serves as an expert and key resource related to compliance issues. Utilizes expertise to provide guidance and leadership on complex compliance related issues. Acts as a liaison to regulatory agencies.
Participates in special projects and performs other duties as assigned.
Qualifications
Minimum of eight years private markets compliance experience.
Undergraduate degree or equivalent combination of training and experience.
Knowledge of private asset valuation or due diligence is a plus.
Special Factors
Sponsorship
Vanguard is not offering visa sponsorship for this position.
About Vanguard
At Vanguard we dont just have a mission-were on a mission.
To work for the long-term financial wellbeing of our clients. To lead through product and services that transform our clients lives. To learn and develop our skills as individuals and as a team. From Malvern to Melbourne our mission drives us forward and inspires us to be our best.
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.