Fund Compliance Analyst - US Fund Policies

Vanguard; Charlotte (NC); Hybrid; USD 70,000 - 90,000; Full time

Job summary

A leading investment management company is seeking a Fund Compliance Analyst to oversee compliance inspections and provide guidance on regulatory matters. This role requires a minimum of five years of relevant experience and involves preparing reports, testing compliance policies, and researching potential compliance issues. The position is full-time and located in Charlotte, NC, offering a hybrid work model to enhance flexibility and collaboration.

Qualifications

• Minimum of five years related work experience in regulatory, compliance, investment, or auditing.
• Supervisory experience is preferred.

Responsibilities

• Oversee routine monitoring and inspections related to mutual funds and shareholder accounts.
• Prepare written inspection and assessment reports with recommendations.
• Test compliance policies for effectiveness.
• Research potential issues and recommend practices to reduce violations.
• Interact as a liaison to regulatory agencies.

Education

Undergraduate degree or equivalent combination of training and experience

Job description

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