Vanguard · 9 hours ago
Compliance Analyst, Specialist (Remote)
United States
Full-time
Remote
Senior Level
5+ years expVanguard is a leading investment management company dedicated to the long-term financial well-being of its clients. They are seeking a Compliance Analyst who will oversee monitoring, lead investigations, and provide guidance on compliance risks and controls.
FinanceFinancial Services
No H1B
Responsibilities
Oversees routine monitoring and inspections. Leads investigations of alleged violations of Vanguard's ethical standards and noncompliance with applicable laws, regulations and corporate policy issues. Serves as an advisor to the business, coordinates with business area stakeholders and internal risk and compliance partners
Prepares written inspection and assessment reports and provides recommendations for improvement. Provides guidance to mitigate compliance risks and control gaps
Tests compliance oversight and operating policies and procedures for effectiveness of regulatory compliance controls. Participates in developing and writing new compliance policies and procedures. Ensures compliance documentation and manuals are up to date and distributed
Researches potential issues, determines scope, and potential regulatory impact. Recommends practices to reduce potential for violations and noncompliance
Follows approved investigation procedures and reports on corrective actions
Maintains a broad knowledge of the investment industry. Stays abreast of current market, regulatory and industry relevant news. Serves as an expert on compliance related issues. Acts as a liaison to regulatory agencies
Participates in special projects and performs other duties as assigned
Qualification
Required
Minimum of five years related work experience
Undergraduate degree or equivalent combination of training and experience
Preferred
Regulatory, compliance, investment, or auditing experience preferred
Company
Vanguard
Check is a client-owned investment company that offers low-cost mutual funds, ETFs, advice, and related services.
Founded in 1975Kelayres, Pennsylvania, USA
10001+ employees
Funding
Current Stage
Late StageTotal Funding
unknownKey Investors
ic@3401
2017-03-31Non Equity Assistance
Leadership Team
Salim Ramji
Chief Executive Officer
Andrew Maack
Principal, Head of US Equity Index Portfolio Management
Recent News
2026-01-20
2025-09-05
2025-03-15
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