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Vanguard · 1 day ago

Compliance Specialist

Scottsdale, AZ

Full-time

Hybrid

Senior Level

5+ years exp

Vanguard is a company dedicated to the long-term financial wellbeing of its clients. They are seeking a Compliance Specialist to design and implement compliance programs, support foundational initiatives, and collaborate with business partners to ensure regulatory alignment and best practices.

FinanceFinancial Services

No H1B

Responsibilities

Supporting foundational compliance program initiatives, including maintaining core frameworks, policies, and governance structures that ensure alignment with regulatory expectations and industry best practices

Coordinating and collaborating with business partners across the enterprise to consolidate information from multiple sources into comprehensive, cohesive responses, reports, or other materials for engagement with regulators

Appropriately demonstrating consideration for the firm's reputation and safeguarding Vanguard and its clients by applying sound judgment and business practices to mitigate and manage regulatory risk

Monitoring evolving regulatory landscapes and proactively informing stakeholders of relevant industry trends, emerging regulatory priorities, and compliance matters

Serves as an experienced advisor to the business, and interfaces regularly with business unit stakeholders and internal risk and compliance partners

Collaborate on compliance-related projects, including cross-departmental initiatives, regulatory deliverables, and internal process improvements

Participating in special projects and performing other duties as assigned

Qualification

Financial services complianceRegulatory communicationsLeadership presenceSituational judgmentEthicsInterpersonal skillsTeam collaborationIntegrityCommunication skillsDecision-makingSelf-starter