Compliance Analyst

About Vanguard

More than 50 years ago, John C. Bogle was a visionary that started an investment company that did things differently. A company with no external shareholders. Where all the profits were invested back into the business and used increased scale to lower costs. Evidently, it was as bold as it was brilliant. To this day, Vanguard Group still has no external shareholders. That means no share prices to protect, and no profits to generate for outside owners. 

Today, Vanguard is one of the world’s largest investment management companies, serving more than 50 million investors worldwide. For more than 30 years Vanguard Australia has been supporting individual investors, financial advisers, and superannuation members to achieve their long-term financial goals.

Our Compliance team is seeking an Analyst who has a keen eye for detail to support the preparation and lodgement of regulatory returns and administration the policy library. This is an entry-level opportunity within a high-performing compliance team.

Core Responsibilities

• Prepare and lodge ASIC and ASX notifications/forms to support the business teams in maintaining varying product offerings.

• Responds to compliance inquiries and proactively addresses issues in collaboration with  relevant subject matter experts.

• Contribute to the development and maintenance of compliance policies, procedures, and documentation; ensure materials are current and appropriately distributed.

• Follow approved investigation procedures and report on findings and corrective actions.

• Develop and maintains a broad understanding of the investment industry, including current market, regulatory and industry developments.

Qualifications

• Minimum of three years related work experience: regulatory, compliance, investment, or audit experience preferred.

• Strong attention to detail and stakeholder management

• Undergraduate degree or equivalent combination of training and experience

Inclusion Statement

Vanguard’s continued commitment to diversity and inclusion is firmly rooted in our culture. Every decision we make to best serve our clients, crew (internally employees are referred to as crew), and communities is guided by one simple statement: “Do the right thing.”

We believe that a critical aspect of doing the right thing requires building diverse, inclusive, and highly effective teams of individuals who are as unique as the clients they serve. We empower our crew to contribute their distinct strengths to achieving Vanguard’s core purpose through our values.

When all crew members feel valued and included, our ability to collaborate and innovate is amplified, and we are united in delivering on Vanguard’s core purpose.

Our core purpose: To take a stand for all investors, to treat them fairly, and to give them the best chance for investment success.

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.