Equity Investment Operational Risk Analyst

Vanguard; Malvern; On-site; GBP 65,000 - 90,000; Full time

Job summary

Vanguard is seeking a Senior Compliance Analyst in the Investment Management Group based in Malvern, UK. You will lead the review and enhancement of compliance rules within the Order Management Systems to meet regulatory requirements and fund directives.

Collaborate with traders and stakeholders to implement alerts, run trend analysis, and provide risk expertise for key events. The role requires strong relationship management and the ability to manage multiple priorities under tight deadlines.

Qualifications

• Undergraduate degree or equivalent combination of training and experience.
• Minimum of three or more years of related and progressive work experience.
• Knowledge of Equity and Fixed Income Order Management Systems preferred.
• Strong working knowledge of mutual funds and investment operations or investment systems.
• Professionalism in managing multiple priorities and performing complex analysis under tight deadlines.

Responsibilities

• Lead the review, validation and enhancement of compliance rules within the Order Management Systems (CRD and BlackRock Aladdin) to ensure all regulatory requirements, prospectus rules and investment directives are met.
• Work with the traders and stakeholders to implement additional alerts which will improve the control effectiveness of the trade lifecycle.
• Lead regular readouts to Senior Leaders across IMG and other key partners (e.g. Legal and Compliance) on the effectiveness of the pre-trade controls program.
• Decision input into the trades when a pre-trade alert is flagged.
• Monitor overnight portfolio alerts and warnings and perform trend analysis to identify if rule amendments are needed.
• Provide risk expertise to support key corporate and market events.
• Identify operational risks and incidents and recommend solutions to address the root cause.

Skills

Equity & Fixed Income OMS

Regulatory compliance

Risk management

Stakeholder collaboration

Education

Bachelor's degree or equivalent

Job description

Core Responsibilities

Situated alongside the Investment Management Group (IMG), we are a team with diverse professional and educational backgrounds ranging from buy- and sell-side trading to banking risk to fund compliance to law. We work directly with IMG to mitigate risk failures stemming from processes, human error, regulatory change, and technology alongside our business partners in Portfolio Review, Legal, Compliance, Global Risk & Security, Finance, IT and more. This role provides the opportunity to partner with and learn from all groups in and surrounding the Investment Management Group. The ideal candidate will possess a desire to build fixed income and equity investment experience and risk acumen, have strong relationship management skills, and hold themselves to high standards for teamwork and collaboration.

• Lead the review, validation and enhancement of compliance rules within the Order Management Systems (CRD and BlackRock Aladdin) to ensure all regulatory requirements, prospectus rules and investment directives are met.
• Work with the traders and stakeholders to implement additional alerts which will improve the control effectiveness of the trade lifecycle.
• Lead regular readouts to Senior Leaders across IMG and other key partners (e.g. Legal and Compliance) on the effectiveness of the pre-trade controls program.
• Decision input into the trades when a pre-trade alert is flagged.
• Monitor overnight portfolio alerts and warnings and perform trend analysis to identify if rule amendments are needed.
• Provide risk expertise to support key corporate and market events.
• Identify operational risks and incidents and recommend solutions to address the root cause.

Qualifications

• Undergraduate degree or equivalent combination of training and experience.
• Minimum of three or more years of related and progressive work experience.
• Knowledge of Equity and Fixed Income Order Management Systems preferred.
• Strong working knowledge of mutual funds and investment operations or investment systems.
• Professionalism in managing multiple priorities and performing complex analysis under tight deadlines.

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.

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.