Manager, Post-Trade Compliance - Military Veterans

Leads a team or teams of analysts responsible for the daily oversight of global post-trade compliance. Works with internal and external teams to communicate solutions and risks for the complex and funds. Oversees resolution of issues to ensure that ownership levels are disclosed, and funds maintain compliance.

Leads a team or teams of analysts responsible for the daily oversight of global post-trade compliance. Works with internal and external teams to communicate solutions and risks for the complex and funds. Oversees resolution of issues to ensure that ownership levels are disclosed, and funds maintain compliance.

Core Responsibilities

1. Hires, evaluates, and supervises crew. Provides guidance and training as necessary to develop crew. Sets performance standards, reviews performance, and makes informed compensation decisions in accordance with all applicable Human Resources policies and procedures.

2. Oversees the preparation of written reports and regulatory documentation. Ensures completeness of compliance rule library or various compliance materials.

3. Ensures compliance with global regulatory requirements by reviewing ownership compliance summaries, Vanguard prospectuses, SAI investment objectives, global sanctions policy, adviser certifications, and procedures. Recommends practices to reduce potential violations and anticipates upcoming legislature and regulatory changes.

4. Oversees testing and validation of operating systems to ensure rules function correctly and accurately capture ownership levels and investment guidelines. Shares results and requirements with internal and external vendors and leads elevation of compliance rules into operating systems.

5. Manages library of all compliance rules and materials that are updated, relevant, and reflect current requirements. Oversees the distribution of updated material to appropriate stakeholders.

6. Analyzes complex transaction data across global jurisdictions. Presents risk-related findings and proposes solutions to senior leadership and appropriate stakeholders.

7. Provides guidance on and oversees reporting on affiliated transactions and identifies global substantial shareholder disclosures and compliance violations committed during the portfolio management process. Helps oversee global bank service providers and fund Trustees/Depositaries, external investment advisors, and third-party system vendors.

8. Maintains a deep and current understanding of post-trade compliance to help drive business strategies. Recommends changes in global operating model and processes to gain efficiencies and ensure consistency in compliance monitoring activities.

9. Participates in special projects and performs other duties as assigned.

Qualifications

• Minimum of five years related work experience.
• Undergraduate degree or equivalent combination of training and experience. Graduate degree preferred.
  

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.