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Compliance Specialist
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**Compliance Specialist** Vanguard Canada is one of Canada’s largest ETF providers with 37 Canadian ETFs and six mutual funds currently available. With over 10 years in the Canadian market, Vanguard is one of the largest investment management companies in the world, managing $8.1 Trillion (CAD $10.4 Trillion) in assets to its more than 30 million investors worldwide. Canadians benefit from Vanguard’s stability and experience, low-cost investing, and client focus. We have a diverse and talented crew with a culture that promotes teamwork, along with an unwavering focus on serving our clients' best interests. As a **Compliance Specialist** you will lead and perform compliance activities to effectively protect the organization’s business interests and drive outcomes. You will support the development, implementation, and maintenance of compliance processes, as well as compliance monitoring functions. You will serve as a trusted advisor to the business and provide guidance and oversight of regulated activities. **Core 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. Serves as an expert on compliance related issues including, for example, Vanguard’s 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. **Qualifications** - Minimum of five years related work experience. Regulatory, compliance, investment, or auditing experience preferred. - Undergraduate degree or equivalent combination of training and experience. **Special Factors** - This position is considered an "Access Person" position under Vanguard’s Code of Ethical Conduct. **Future of Work** During the pandemic, we transitioned to a work from home model for the majority of our crew and we continue to interview, hire, and on-board future crew remotely. As we have developed the path forward, we have taken a thoughtful approach that both maximizes the advantages of working remotely and the many benefits of coming together and collaborating in a shared workspace. We believe that in-person interactions among our crew are important for preserving our unique culture and advantageous for the personal development of our crew. When our Crew return to the office, many will work in our hybrid model. A smaller proportion of our crew will operate in the Work from Home work model (for example, field sales crew); or in the Work from Office model (for example, portfolio managers). The working model that your role falls into will be communicated to you in the interview process - please do ask if you are unsure. We encourage you to make the decision regarding your job interview and offer knowing which model your role will fall into. We will test and learn as our ways of working evolve and will continue to evaluate working models along the way.
