Fund Compliance Analyst - US Fund Policies

Fund Compliance Analyst - US Fund Policies Join to apply for the Fund Compliance Analyst - US Fund Policies role at Vanguard Leads and performs business unit compliance inspections. Supports the development, implementation, and maintenance of compliance processes, as well as compliance monitoring related to Vanguard's mutual funds, shareholder accounts, and registered investment advisors. Serves as a trusted advisor to the business. Provides guidance and oversight of regulated activities. Core Responsibilities Oversees routine monitoring and inspections related to Vanguard's mutual funds, shareholder accounts, and registered investment advisors. Leads investigations of alleged violations of Vanguard's ethical standards and noncompliance with applicable laws, regulations and corporate policy issues. Serves as advisor to the business. Coordinates with business stakeholders and internal risk and compliance partners. Prepares written inspection and assessment reports and provides recommendations for improvement. Provides guidance to mitigate compliance risks and control gaps. Tests compliance oversight and operating policies and procedures for effectiveness of regulatory compliance controls. Participates in developing and writing new compliance policies and procedures. Ensures compliance documentation and manuals are up to date and distributed across the business. Researches potential issues, determining scope and potential regulatory impact. Recommends practices to reduce potential for violations and noncompliance related to Vanguard's mutual funds, shareholder accounts, and registered investment advisors. Follows approved investigation procedures and reporting on corrective actions. Maintains a comprehensive knowledge of the investment industry. Stays abreast of current market, regulatory and industry relevant news. Serves as an expert on compliance related issues. Interacts as a liaison to regulatory agencies. Participates in special projects and performs other duties as assigned. Qualifications Minimum of five years related work experience. Regulatory, compliance, investment, or auditing experience preferred. Supervisory experience preferred. Undergraduate degree or equivalent combination of training and experience. 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. 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. Location Charlotte, NC Seniority level Mid‑Senior level Employment type Full‑time Job function Legal #J-18808-Ljbffr Vanguard