Compliance Specialist


Vanguard is one of the world’s largest investment companies. Comapny offers low-cost mutual funds, ETFs, advice, and related services to financial professionals, institutional investors, and individual investors.

Job Purpose:

  • A Compliance role focused on being an advisory contact for a particular European business group
  • This role will also be responsible for the design and implementation of required policies and procedures, including appropriate operational and Compliance oversight.

Your Responsibilities:

  • Providing day-to-day European Compliance advice and guidance to a particular European business group and being their European Compliance ‘point person’
  • Advising on relevant policies and procedures
  • Working with the relevant business group to ensure matters arising on the regulatory timetable are actioned
  • Producing reports for senior management on Compliance advisory activities
  • Conducting new staff Compliance inductions and other regulatory training
  • Handling routine business as usual Compliance queries from the business
  • Assisting the planning, preparation and communication in respect of regulatory visits and periodic requests
  • Conducting internal inquiries and investigations as necessary
  • Advising the Compliance Monitoring team in respect of matters relevant to the oversight of a particular European business group
  • Participating in special projects and assisting with any other matters as directed by the European Compliance management team
  • Establishing working relationships with peers at other firms through, for example, participation in relevant trade association working groups.

Skills and Qualifications:

  • Undergraduate degree or an equivalent combination of training and experience
  • Five or more years related Compliance experience in an investment management business or equivalent
  • Knowledge of FCA, DWP and HMRC rules and regulations commensurate with experience level. Knowledge and experience of UK and/or Irish UCITS (investment funds and/or ETFs) preferable
  • Excellent verbal and written communication skills and organized approach including strong persuasive and negotiation skills
  • Excellent relationship management skills (for both within a growing global Compliance function and external to Compliance)
  • Excellent organizational skills, attention to detail, and ability to work independently
  • Demonstrated ability to function in a deadline oriented, fast paced and rapidly changing environment. Effectively handles multiple priorities and initiatives
  • Strong critical thinking and analytical skills
  • Ability to elicit trust and confidence and maintain composure and a positive approach in challenging situations.

Source: for more information click here.

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At Vanguard, investors can earn more over time simply by keeping more of their investment returns. Unlike other investment companies, we don’t have outside owners taking a portion of clients’ returns. With no other parties to answer to, we can keep costs low and we can make every decision solely with investors’ interests in mind.

Vanguard is one of the world’s largest investment companies. We offer low-cost mutual funds, ETFs, advice, and related services to financial professionals, institutional investors, and individual investors. As of December 31, 2015, we managed more than $3.4 trillion in U.S. and international mutual fund assets.  In addition, we have 175 U.S. –based mutual funds and 144 other funds in non-U.S. markets.

  • Specialism ETF & ETP Providers
  • Location Philadelphia
  • Address 100 Vanguard Blvd Valley Forge, PA 19482 United States
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