Principal Compliance Expert

2 weeks ago

Toronto, Ontario, Canada Vanguard Full time

Compliance Expert Role at Vanguard Canada

The Compliance Specialist will lead and perform compliance activities to effectively protect the organization's business interests and drive results. This includes supporting the development, implementation, and maintenance of compliance processes, as well as compliance monitoring functions.

Responsibilities:

  • Performs or oversees various regular regulatory filings and compliance reviews to support the compliance regime. Prepares related reporting and provides guidance to the business to mitigate risks and control gaps.
  • Serves as an advisor to the business, working in co-operation with other members of the wider Vanguard Legal and Compliance team globally, as required. Provides expertise on compliance-related issues, including Vanguard's code of ethical standards, marketing, social media, sales practices, individual registrations, and oversight of third parties.
  • Participates in developing and writing new compliance policies and procedures. Develops and delivers compliance training.
  • Maintains a broad knowledge of the investment industry. Stays abreast of current market, regulatory, and industry-relevant news. Acts as a liaison to regulatory agencies.
  • Participates in special projects and performs other duties as assigned.

Requirements:

  • Minimum of five years related work experience. Regulatory, compliance, investment, or auditing experience is preferred.
  • Undergraduate degree or equivalent combination of training and experience.
  • Excellent verbal and written communication skills.
  • Strong stakeholder management skills.
  • Experience supporting problem identification and resolution in a previous role.

Vanguard's Working Environment

Vanguard has implemented a hybrid working model to capture the benefits of enhanced flexibility while enabling in-person learning, collaboration, and connection. Our mission-driven and highly collaborative culture is a critical enabler to support long-term client outcomes and enrich the employee experience.

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