What are the responsibilities and job description for the Head of Ethics and Conduct Compliance position at Vanguard and Careers?
This is a global role that serves as a subject matter expert and leads a team responsible for implementing a program to set an enterprise-wide culture of compliance at Vanguard. Implements and ensures the compliance with Vanguard's global Code of Ethical Conduct and associated compliance programs, including the Anti-Bribery Anti-Corruption and Antitrust programs. Ensures compliance with relevant conduct rules including Investment Adviser Act Rule 204A-1 and other global conduct standards including under FCA and ASIC rules. Drives awareness of and compliance with an enterprise-wide conflicts of interest program.
This individual will be responsible for developing policies and procedures to ensure compliance with regulatory requirements and ethical standards. Contribute to the development and oversees the implementation of monitoring programs to ensure regulatory compliance and protect shareholder assets. Serve as a trusted advisor to the business and partners with leaders to deliver solutions to complex and elevated issues.
Responsibilities:
- 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.
- Provides leadership and oversight for team operations related to monitoring and advisory activities.
- Directs implementation of policies and procedures for the general operation of Vanguard's Code of Ethical Conduct and associated policies.
- Manages and consults on the design, implementation, execution, and maintenance of new ethics and conduct standards and enterprise-wide training on those standards.
- Oversees investigations of alleged violations of Vanguard's ethical standards and non-compliance with applicable laws, regulations and corporate policies. Addresses and advises on highly complex or sensitive ethical matters.
- Provides guidance to mitigate compliance risks and control gaps.
- Oversees the design, implementation, execution, and maintenance of compliance policies and procedures related to Vanguard's Code of Ethical Conduct and related policies. Supports the development of new compliance standards.
- Develops strategic solutions for resolution of higher-profile and problematic issues. Recommends practices to reduce potential for violations and noncompliance.
- Maintains expert knowledge and awareness of the investment industry. Stays abreast of current market, regulatory and industry relevant news. Serves as an expert and provides guidance to team on compliance related issues.
- Participates in special projects and performs other duties as assigned.
Qualifications
- Undergraduate degree or equivalent combination of training and experience. Graduate degree preferred.
- Minimum ten years related work experience, including supervisory experience. Regulatory, compliance, or auditing experience preferred.
Special Factors
Sponsorship
Vanguard is not offering visa sponsorship for this position.About Vanguard
At Vanguard, we don't just have a mission—we're on a mission.
To work for the long-term financial wellbeing of our clients. To lead through product and services that transform our clients' lives. To learn and develop our skills as individuals and as a team. From Malvern to Melbourne, our mission drives us forward and inspires us to be our best.
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.