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.
- 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.
- 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.
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