Compliance Specialist, Vanguard Canada
As a Compliance Specialist with Vanguard Canada you will lead and perform compliance activities to effectively protect the organization's business interests and drive outcomes.
You will support the development, implementation, and maintenance of compliance processes, as well as compliance monitoring functions.
You will serve as a trusted advisor to the business and provide guidance and oversight of regulated activities.
This role :
- Performs or oversees various regular regulatory filings and compliance reviews to support the compliance regime. Prepares related reporting and provides guidance to the business to mitigate risks and control gaps.
- Serves as an advisor to the business, working in co-operation with other members of the wider Vanguard Legal and Compliance team globally, as required.
Serves as an expert on compliance related issues including, for example, Vanguard's code of ethical standards, marketing, social media, sales practices, individual registrations and oversight of third parties.
- Participates in developing and writing new compliance policies and procedures. Develops and delivers compliance training.
- Maintains a broad knowledge of the investment industry. Stays abreast of current market, regulatory and industry relevant news.
Acts as a liaison to regulatory agencies.
Participates in special projects and performs other duties as assigned.
What it takes :
- Minimum of five years related work experience. Regulatory, compliance, investment, or auditing experience preferred.
- Undergraduate degree or equivalent combination of training and experience.
- Excellent verbal and written communication skills.
- Strong stakeholder management skills.
- Experience supporting problem identification and resolution in a previous role.
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.
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