Senior Compliance Advisor – Fund and Advisor Compliance
| Company | Vanguard |
|---|---|
| Location | Malvern, PA, USA |
| Salary | $Not Provided – $Not Provided |
| Type | Full-Time |
| Degrees | Bachelor’s, Master’s |
| Experience Level | Senior |
Requirements
- Experience in managing control room operations, such as overseeing wall-crosses, managing data room access, handling material non-public information, and maintaining information barriers.
- Familiarity with capital markets structure, regulations, mechanics, and emerging issues impacting registered 40 Act funds and ETFs.
- Strong workflow management, organizational and communication skills.
- Ability to handle a variety of projects simultaneously with minimal supervision and prioritize to meet tight deadlines.
Responsibilities
- Act as the point of contact and manage key relationships with IMG Portfolio Managers, Traders, Risk, Compliance, and other internal stakeholders.
- Lead, develop, and manage ethical wall controls and monitors, including market soundings, MNPI, and confidential information control, as well as related policy and procedure development.
- Provide advice, guidance, and training to IMG crew on information barriers, including responding to live trading questions in a timely, risk-based fashion.
- Act as the compliance SME for relevant business change initiatives.
- Serve as an escalation point for compliance program monitoring, testing, risk assessments, and trade surveillance.
- Monitor electronic communications to enforce information barriers.
- Participate in new rule implementations pertaining to your coverage area.
- Support the wider Global Fund, Advisor, and Distribution team as needed.
- Participates in special projects and performs other duties as assigned.
Preferred Qualifications
- Minimum of five years related work experience, with at least two years within a financial services compliance function. Regulatory, compliance, investment, or auditing experience preferred.
- Undergraduate degree or equivalent combination of training and experience. Graduate degree preferred.