Full-Time

Post-Trade Compliance

Specialist

Posted on 2/3/2025

Vanguard

Vanguard

10,001+ employees

Client-owned investment management firm offering low-cost funds

Fintech
Financial Services

Mid

No H1B Sponsorship

Villanova, PA, USA

Hybrid working model implemented, but specific in-office days are not mentioned.

Category
Risk Management
Finance & Banking
Required Skills
Data Analysis

You match the following Vanguard's candidate preferences

Employers are more likely to interview you if you match these preferences:

Degree
Experience
Requirements
  • Three years related business experience.
  • Undergraduate degree or equivalent combination of training and experience.
Responsibilities
  • Create, analyze, and review regulatory reporting obligations specific to global substantial shareholder regulations
  • Research, review, and reconcile ownership compliance summaries to ensure Vanguard’s compliance with global substantial shareholder regulations
  • Analyze ownership compliance summaries, translating this information into rules for operating systems and sharing requirements with internal and external vendors to elevate compliance rules into operating systems.
  • Analyze compliance regulations to ensure the library of all compliance documents and materials is updated and relevant, overseeing the distribution of updated material to appropriate stakeholders.
  • Analyze complex transaction data across global jurisdictions and present risk-related findings to leadership and appropriate stakeholders.
  • Analyze portfolio holdings and trade data, identifying global substantial shareholder disclosures
  • Develop and maintain a broad knowledge of the post-trade compliance industry, keeping abreast of current market, regulatory, and industry news. You will serve as a specialist on compliance-related matters and act as a liaison to regulatory agencies, third-party system vendors, and global bank service providers.
  • Participate in special projects and perform other duties as assigned.
Desired Qualifications
  • Informal leadership experience
  • Ability to think strategically and manage ambiguity with a solution-oriented mindset
  • Financial reporting or accounting background
  • Strong relationship management and communications skills
  • Strong agility and willingness to learn

Vanguard provides financial services with a focus on investment management. The company offers a variety of products, including mutual funds, exchange-traded funds (ETFs), individual retirement accounts (IRAs), and 401k rollovers, aimed at individual investors, financial advisors, and institutions. Vanguard's unique ownership structure means it is owned by its funds, which are in turn owned by the clients, allowing it to prioritize the needs of its investors over external shareholders. This model enables Vanguard to offer low-cost investment options, as it primarily earns revenue through management fees that are generally lower than industry standards. Additionally, Vanguard provides personalized investment advisory services, charging fees based on the assets managed. The company's goal is to help clients grow their wealth and achieve their financial objectives through effective investment strategies, while maintaining a competitive performance in the market.

Company Stage

Private

Total Funding

N/A

Headquarters

Kline Township, Pennsylvania

Founded

1975

Simplify Jobs

Simplify's Take

What believers are saying

  • Vanguard's new active bond ETFs offer diversified, low-cost fixed income options.
  • The acquisition of Steelcase shares diversifies Vanguard's portfolio into the furniture industry.
  • Launching the International Dividend Growth Fund appeals to investors seeking sustainable dividend growth.

What critics are saying

  • Competition from AI-driven platforms like Writer challenges Vanguard's traditional advisory services.
  • Vanguard's stake in Steelcase exposes it to the volatile furniture market.
  • New active bond ETFs may struggle in a low-yield environment with increasing competition.

What makes Vanguard unique

  • Vanguard is client-owned, aligning its interests with investors, unlike traditional firms.
  • The firm offers low-cost investment products, making it attractive to cost-conscious investors.
  • Vanguard's ownership structure allows it to focus on long-term investor value.

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Benefits

Best-in-class medical, dental & vision coverage

Onsite health clinic & fitness center

Health Smart Rewards program

Vanguard Retirement Savings Plan

Education Benefits

PTO

Family Planning Benefist

Parental leave

Personal development opportunities

Volunteer Time Off