Post-Trade Compliance Specialist

Our team ensures Vanguard’s funds and portfolios comply with global substantial shareholder disclosure requirements, investment guidelines, and affiliated transaction rules. This role centers on building and maintaining a comprehensive compliance library while aligning with global regulatory standards. Responsibilities include analyzing complex transactions and portfolio data, converting compliance guidelines into operational rules, and effectively communicating findings to internal and external stakeholders.

Responsibilities:

• Creates and maintains a broad library of various compliance materials. Writes and presents materials to internal and external partners.
• Researches, reviews, and reconciles ownership compliance summaries, Vanguard prospectuses, SAI investment objectives, global sanctions' policy, adviser certifications, and procedures to ensure compliance with global regulatory requirements.
• Analyzes ownership compliance summaries and fund investment guidelines and translates information into rules for operating systems. Shares requirements with internal and external vendors to elevate compliance rules into operating systems.
• Analyzes compliance regulations to ensure the library of all compliance documents and materials is updated and relevant. Oversees the distribution of updated material to appropriate collaborators.
• Analyzes complex transaction data across global jurisdictions. Presents risk-related findings to leadership and appropriate stakeholders.
• Analyzes portfolio holdings and trade data and identifies global substantial shareholder disclosures and compliance violations committed during the portfolio management process.
• Develops and maintains a broad knowledge of the post-trade compliance industry. Stays ahead of the current market, regulatory and industry news. Serves as a specialist on compliance-related matters. Acts as a liaison to regulatory agencies, third-party system vendors, and global bank service providers.
• Participates in special projects and performs other duties as assigned.

Qualifications:

• Three years related business experience.
• Undergraduate degree or equivalent combination of training and experience.
• Strong knowledge of investment products and derivatives.
• Proficient in fund accounting and financial data analysis.
• Comfortable working with large and complex data sets.
• Knowledge of the US 1940’s Fund Act preferred.

Special Factors

Sponsorship

Vanguard is not offering visa sponsorship for this position.

About Vanguard

At Vanguard, we don't just have a mission—we're 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.