Compliance Specialist AML/CFT Program Oversight

The Vanguard Group; Charlotte (NC); Hybrid; USD 85,000 - 120,000; Full time

Job summary

The Vanguard Group is seeking a Compliance Specialist to lead AML/KYC efforts, monitor client activity, and support regulatory compliance across our global client base. You will work in an informal leadership capacity within a team focused on protecting the integrity of Vanguard's financial operations.

Ideal candidates have 3+ years in compliance/AML, a Bachelor's degree, strong analytical and communication skills, and familiarity with risk assessment.

Qualifications

• Minimum of 3 years of relevant experience in compliance, AML, or financial services.
• Bachelor’s degree or equivalent combination of education and experience.
• Strong analytical, investigative, and communication skills.
• Experience assessing client risk and applying effective risk mitigation strategies.
• Demonstrated ability to work effectively in a highly regulated environment and exercise sound judgment when evaluating complex situations.
• Proven ability to adapt to change, navigate ambiguity, and support evolving business and regulatory priorities.
• Experience influencing others, driving process improvements, and acting as a change agent within a team environment.
• Ability to collaborate effectively with colleagues across different teams and contribute to shared goals.
• Familiarity with tools such as LexisNexis, World-Check, or similar platforms is a plus.

Responsibilities

• Client Monitoring & Investigations: Conduct day-to-day monitoring of client activity to detect suspicious behavior and assist investigations as needed.
• Risk Management & Client Risk Mitigation: Assess and manage client risk using established policies and controls.
• Alert Resolution & Escalation: Review alerts and resolve exceptions in line with policy.
• Regulatory Reporting: Support internal and external reporting obligations.
• Training & Mentorship: Participate in training sessions and develop educational materials for junior team members.
• Industry Awareness & Consultation: Stay current on regulatory developments and advise on regulatory expectations.

Skills

Analytical skills

Investigative skills

Communication skills

Regulatory compliance

Education

Bachelor's degree

Tools

LexisNexis

World-Check

Job description

Lead the Fight Against Financial Crime at Vanguard

We are in pursuit of an individual withindustryexperience in Anti-Money Laundering, Know Your Client, and Compliance Operations.In this crucial role, you'll be at the forefront of Vanguard's Anti-Money Laundering and Compliance Operations in an informal leadership capacity. Join a team committed to protecting financial integrity and combating financial crime. As a Compliance Specialist, you will play a critical role in Vanguard’s Anti-Money Laundering (AML) and Know Your Customer (KYC) programs. You’ll be responsible for monitoring client activity, conducting due diligence, and supporting regulatory complianceefforts across our global client base.

In this role, you will be responsible for:

Client Monitoring & Investigations

Conduct day-to-day monitoring of client activity to detect suspicious behavior. Assist investigators and analysts with investigations and escalated complex cases as needed.

Risk Management & Client Risk Mitigation

Assess and manage client risk through the application of established policies, procedures, and controls. Evaluate high-risk client relationships, identify potential risks and vulnerabilities, and recommend actions to mitigate financial crime and compliance exposure. Mitigate risk through oversight, process improvements, policy, and procedure review and updates.

Alert Resolution & Escalation

Review internal alerts and reports. Resolve exceptions in line with policy and escalates issues that require further investigation.

Regulatory Reporting

Support internal and external reporting obligations in accordance with regulatory guidelines and departmental procedures.

Training & Mentorship

Participate in training sessions and contribute to the development of educational materials for junior team members.

Industry Awareness & Consultation

Stay current on regulatory developments and industry trends. Serve as a compliance consultant and liaison to regulatory agencies.

Qualifications:

• Minimum of 3 years of relevant experience in compliance, AML, or financial services.
• Bachelor’s degree or equivalent combination of education and experience.
• Strong analytical, investigative, and communication skills.
• Experience assessing client risk and applying effective risk mitigation strategies.

• Demonstrated ability to work effectively in a highly regulated environment and exercise sound judgment when evaluating complex situations.
• Proven ability to adapt to change, navigate ambiguity, and support evolving business and regulatory priorities.
• Experience influencing others, driving process improvements, and acting as a change agent within a team environment.
• Ability to collaborate effectively with colleagues across different teams and contribute to shared goals.
• Familiarity with tools such as LexisNexis, World-Check, or similar platforms is a plus.

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.