Ethics, Culture, & Conduct Compliance Specialist

Full-time

Hybrid - Scottsdale, AZ

Securities, Commodity Contracts, and Other Financial Investments and Related Activities

About the position

The position involves leading the maintenance and enforcement of Vanguard's Code of Ethical Conduct, ensuring compliance with applicable laws and regulations. The role requires proactive monitoring, investigation of alleged violations, and the development of compliance policies and training. It serves as a trusted advisor to the business, providing guidance on compliance-related issues and collaborating with leaders on complex procedures.

Responsibilities

• Leads the maintenance of Vanguard's Code of Ethical Conduct and supporting policies and procedures.
• Leads routine monitoring to ensure broad observance of the policy.
• Investigates alleged violations of Vanguard's ethical standards and noncompliance with applicable laws, regulations, and corporate policy issues.
• Responds to compliance inquiries related to Vanguard's Code of Ethical Conduct.
• Proactively recommends practices to prevent violations or noncompliance.
• Owns the creation of higher complexity or nonroutine action plans for resolution.
• Assists in developing and writing new compliance policies.
• Writes procedures related to Vanguard's Code of Ethical Conduct.
• Ensures compliance documentation and manuals are up to date and distributed.
• Owns the accurate and timely completion of relevant regulatory filings.
• Investigates compliance issues and tracks follow-up items through resolution, as necessary.
• Serves as a trusted advisor to the business.
• Provides advice and guidance in connection with people, process, technology, and regulatory changes.
• Tracks key measures, metrics, and trends for compliance and reporting.
• Presents key findings and recommendations to senior management.
• Develops and delivers compliance training and education to crew members.
• Follows approved investigation procedures and reports on corrective actions.
• Collaborates with leaders to carry out higher complexity or nonroutine procedures or reporting.
• Establishes and maintains a broad knowledge of the investment industry.
• Stays on top of the current market, regulatory and industry relevant news.
• Serves as a specialist on compliance related issues.
• Acts as a liaison to regulatory agencies.
• Participates in special projects and performs other duties as assigned.

Requirements

• Minimum three years related work experience.
• Regulatory, compliance, or auditing experience preferred.
• Undergraduate degree or equivalent combination of training and experience.
• Proficient in reviewing and dispositioning Outside Business Activity (OBA) and personal Conflict of Interest (COI) requests for broker-dealer and investment advisors pursuant to FINRA and SEC regulations (e.g., FINRA 3270).
• Proficient in Microsoft Suite, including Microsoft Excel/PowerApps (writing/applying formulas, aggregating large data sets, pivot tables).
• Experience with UI Path/Citizen Developer.
• Experience with PowerBi/PowerApps.
• Financial/Investment product competence.
• Ability to work independently - 'self-starter initiative.'

Benefits

• Hybrid work schedule (in office Tuesday, Wednesday, Thursday).