Job Description

Act as a senior specialist in the team to ensure corporate, fund and distribution regulatory operations activities are completed accurately and on time through providing subject matter expertise, coaching and developing crew and collaborating with internal and external partners.
Act as a senior specialist in the team to ensure corporate, fund and distribution regulatory operations activities are completed accurately and on time through providing subject matter expertise, coaching and developing crew and collaborating with internal and external partners.

Core Responsibilities

1. Performs and provides oversight of regulatory operational activities and trains/coaches other crew members to ensure the processes are completed to the highest level of quality and maintain a best-in-class risk and controls environment. The regulatory processes include but are not limited to; MiFID II, PRIIPs, UCITS KIIDs, Solvency II, Money Market Fund Reporting, and various ESG disclosures.


2. Partners with the Regulatory Program Office (RPO) and other business groups to on-board new regulatory requirements, implement changes to existing requirements and/or support other regulatory activities that impact the Regulatory Operations function.


3. Maintains broad knowledge and awareness of current product events and manages the impacts they may have to the team's responsibilities. Analyzes the impacts of changes and supports management in facilitating the implementation and operational readiness within the department.


4. Works with internal and external partners, external vendors, and industry contacts to enable best-in-class regulatory operations practices. Develops and enhances the regulatory operations to reflect and incorporate latest industry working group guidance.


5. Demonstrates accountability for vendor relationships including service level agreements, key performance indicators and alignment with enterprise governance and oversight frameworks.


6. Builds and maintains strong relationships with internal partners in Product, RPO, Legal, Compliance, Distribution and Finance teams. Externally, engages and participates in industry working groups.


7. Stays abreast of industry developments, regulatory landscape, and understands differing client needs. At times, meet with clients, regulators and/or industry trade bodies to educate, influence or provide feedback accordingly.


8. Participates in special projects and performs other duties as required.

Qualifications

Undergraduate degree in business discipline or equivalent combination of training and experience. Minimum 5 years of business related operational experience in progressively more responsible roles. Excellent judgment and proven ability to analyze issues quickly and independently take appropriate action under tight timeframes. Strong verbal, written, and interpersonal communication skills, with the ability to influence business partners and interact with all levels of the organization. Demonstrated ability to function in fast paced, ambiguous environment working with multiple and diverse responsibilities. Strong work ethic. Demonstrated willingness to contribute to the overall success of the unit and Vanguard.

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.