Post-Trade Compliance

Monitors compliance of Vanguard’s complex and portfolios.  Analyzes position and trade data for adherence to global substantial shareholder disclosures, fund investment guidelines, and affiliated transactions rules.

In this role you will…

• 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.

What it takes:

• Three years related business experience.
• Undergraduate degree or equivalent combination of training and experience.

Additional skills preferred:

• 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

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.

Our commitment to diversity, equity, and inclusion

Vanguard’s commitment to diversity, equity, and inclusion (DEI) is central to our ability to deliver on our mission. We aspire to create a work environment that is inclusive, equitable, and diverse—one that enables our employees, whom we call crew, to thrive and bring their best selves to work every day on behalf of our clients.

Cultivating DEI lifts our entire organization, and everyone shares accountability for our progress—from our senior leaders who lay the foundation and set the example for inclusive behaviors to crew who are growing in their personal DEI learning experiences.

Together, we’re on a mission. We are fueled by the value of diverse voices and connected through friendships and a culture of care—for our clients, our communities, and each other.    

Vanguard’s DEI journey has no finish line. Our commitment is enduring, and we remain focused on the path ahead. To learn more about Vanguard goals and progress toward DEI, download our Diversity, Equity, and Inclusion Report.

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.