Compliance Analyst

The role’s primary purpose is to support the firm in its efforts to ensure firm’s compliance with the ongoing regulatory deliverables under the Senior Manager & Certification Regime (SMCR). There is additional requirement to support Code of Ethical Conduct compliance by the firm and members of staff. Sitting within the Core Compliance and wider European Compliance team in London, this role will report to the Director of Conduct & Regulatory Engagement and requires day to day oversight of one indirect report’s activities who also reports to the Director.

The role holder will be responsible for providing regulatory interpretation, input and guidance to key stakeholders in respect of SMCR and personal conduct matters supporting the European Compliance team. This is a role for an individual with solid working experience under SMCR and personal conduct and excellent interpretation, judgement and organisation. Moreover, this individual will need excellent relationship management skills to manage senior stakeholders internally as part of completing BAU activities relating to the Regime. This role is also designed for an individual with a flexible approach to work who can support or lead other compliance projects and initiatives working closely with the broader Compliance team and other members of the orgaisation globally. The role holder will be based in London, embracing proactive collaboration with colleagues across Europe and other global locations, as required.

The Vanguard Europe Compliance team provides support, guidance and oversight on critical compliance topics that contribute to the success and growth of the firm through empowering Vanguard employees to act in accordance with the values and Code of Conduct, and to promote adherence to laws, regulatory requirements and internal policies and procedures. Our ideal candidate will have at least 5 years of relevant experience within investment management and/or financial services firm and will have a track record of managing SMCR and personal conduct related activities effectively, providing subject matter expertise and key stakeholder and driving culture of compliance. The successful candidate will exhibit leadership, partnership, technical and relationship management skills, building trust, influencing decisions and engaging with the stakeholders across all levels.

Core Responsibilities

• Support the firm in adhering to its ongoing obligations under the SMCR program, including developing/creating policies and procedures that underpin the Regime.
• Completing BAU activities are promptly and in line with regulatory requirements.
• Building and maintaining strong working relationships with key stakeholders.
• Support Senior Managers in their understanding & compliance with the requirements under SMCR.
• Solid understanding of the FCA handbook to provide analysis of complex SMCR matters.
• Support firm compliance with the requirements of CBI’s IAF & SEAR regimes, where required.
• Managing and responding to complex queries from stakeholders.
• Interpreting FCA handbook to articulate complex matters to aid discussions and reach resolution.
• Addressing regulatory queries in a timely manner in co-ordination with senior individuals.
• Training incoming regulated staff to ensure they are clear on their SMCR requirements.
• Submission of all SMCR regulatory filings via FCA connect.
• Support Senior Management Functions to ensure timely updates to regulatory documentation.
• Support an onboarding of technology solution for managing the SMCR requirements.
• Providing day to day support to the teams’ junior member as required.
• Support oversight of crew adherence with Code of Ethical Conduct requirements.
• Support oversight of regulatory reporting by the firm.

What it takes

Experience in the UK regulatory environment at financial services organisation, ideally Asset Manager.

• Minimum 5 years relevant experience within Compliance in professional services firm & 4 years of SMCR experience gained from other regulated firm(s).
• Ability to consume, interpret and explain relevant regulatory and internal Policies’ requirements.
• Broad understanding of application of relevant FCA rules in respect of SMCR and SYSC.
• Working knowledge of FCA Connect.
• Attention to detail and commitment to high quality and timely delivery.
• Ability to work with a high degree of autonomy and show initiative.
• Confident and credible dealing with senior individuals.
• Ability to work on multiple tasks with competing deadlines and prioritize appropriately.
• Ability to articulate complex matters clearly and concisely.
• Excellent written and verbal presentation skills.
• Analytical skills allied with creative thinking.
• Excellent interpersonal and influencing skills.

Preferred:

• Bachelor’s Degree (or equivalent) and/or finance industry qualification (e.g. IMC, CISI diploma).
• Working knowledge and understanding of CBI’s IAF & SEAR regimes and its requirements.

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.