Senior Compliance Analyst
Core
Leads compliance inspections, monitors regulatory adherence, and investigates alleged violations of ethical standards and laws.
Role type
Senior Compliance Analyst (Investment Management)
Builds
Compliance frameworks, policies, and monitoring controls for Vanguard's investment business.
Domain
Financial Services / Investment Management / Regulatory Compliance
Required skills
Regulatory compliance knowledge, investigation leadership, policy development, risk mitigation, stakeholder coordination, industry research
Preferred skills
Auditing experience, investment industry experience
Technologies
N/A
Responsibilities
Oversee routine monitoring and inspections; lead investigations of alleged violations; prepare written inspection and assessment reports; test compliance oversight policies; research regulatory issues and recommend practices; maintain knowledge of investment industry and regulatory news.
Seniority
Senior, hands-on IC