Compliance Analyst, Specialist

The role holder will be responsible for providing input and guidance to staff in respect of personal conduct compliance under Code of Ethics supporting the European Compliance team. This is a role for an individual with working experience under Conduct compliance (including PA dealing, including attestation, G&E, Outside Business Interests, and regulatory returns) and excellent interpretation, judgement, and organisation. Moreover, this individual will need excellent relationship management skills to manage multiple stakeholders globally. 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 in Europe and other members of the organization 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,

• Facilitate and implement compliance processes in line with regulatory requirements. Oversee compliance programme, procedures and internal reviews in respect of conduct.
• Manage team mailbox/correspondence and respond to queries from stakeholders.
• Lead routine oversight of firm and staff's compliance with Code of Ethical Conduct (PA dealing, incl attestation, G&E, Outside Business Interests).
• Provide guidance, respond to queries and proactively recommend practices to reduce breaches or non-compliance.
• Prepare action plans for resolution in the event of breaches, if required.
• Maintain written procedures documenting compliance processes.
• Building and maintaining strong working relationships with key stakeholders.
• Produce relevant MI reporting.
• Submission and oversight of regulatory filings via FCA Connect.
• Support an onboarding of technology solution, if required.
• Assist in supporting compliance with SMCR related activities, if required.
• Support in co-ordinating regulatory engagement, if required.
  
  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 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 conduct compliance related activities effectively, providing subject matter expertise, key stakeholder management and driving culture of compliance.
The role holder will be responsible for providing input and guidance to staff in respect of personal conduct compliance under Code of Ethics supporting the European Compliance team. This is a role for an individual with working experience under Conduct compliance (including PA dealing, including attestation, G&E, Outside Business Interests, and regulatory returns) and excellent interpretation, judgement, and organisation. Moreover, this individual will need excellent relationship management skills to manage multiple stakeholders globally. 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 in Europe and other members of the organization 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 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 conduct compliance related activities effectively, providing subject matter expertise, key stakeholder management and driving culture of compliance., Experience in the UK regulatory environment at a financial services organisation, ideally an Asset Management firm.
• Minimum 5 years relevant Compliance experience in a financial services firm, ideally asset management.
• Ability to consume, interpret and explain relevant regulatory and internal Policies' requirements.
• Broad understanding of application of relevant FCA rules (mainly SYSC).
• 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 stakeholders across all levels of seniority.
• Ability to work on multiple tasks with competing deadlines and prioritize appropriately.
• Excellent written and verbal presentation skills.
• Analytical skills allied with creative thinking.
• Excellent interpersonal and influencing skills.
• Working knowledge of FCA Connect and RegData.
  
  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.