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Compliance Specialist

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Vanguard

Sep 1

  • Job
    Full-time
    Senior Level
  • Legal
  • Toronto
  • Quick Apply

AI generated summary

  • You need 5+ years of related experience, a degree or equivalent, strong communication and stakeholder management skills, and experience in problem identification and resolution.
  • You will oversee regulatory filings, provide compliance guidance, develop policies and training, stay updated on industry news, and collaborate with regulatory agencies.

Requirements

  • Minimum of five years related work experience. Regulatory, compliance, investment, or auditing experience 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.

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 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.

FAQs

What is the primary responsibility of a Compliance Specialist at Vanguard Canada?

The primary responsibility is to lead and perform compliance activities to protect the organization’s business interests and drive outcomes, while providing guidance and oversight of regulated activities.

How many years of related work experience are required for this role?

A minimum of five years of related work experience is required, with a preference for experience in regulatory, compliance, investment, or auditing fields.

What types of activities will the Compliance Specialist perform regularly?

The Compliance Specialist will oversee various regulatory filings and compliance reviews, prepare related reporting, and provide guidance to mitigate risks and control gaps.

Is prior experience in compliance or regulatory roles preferred for this position?

Yes, regulatory, compliance, investment, or auditing experience is preferred.

Will the Compliance Specialist have the opportunity to develop training?

Yes, the Compliance Specialist will develop and deliver compliance training as part of their responsibilities.

What kind of skills are important for this role?

Excellent verbal and written communication skills, strong stakeholder management skills, and experience in problem identification and resolution are important for this role.

Will the Compliance Specialist have any interaction with regulatory agencies?

Yes, the Compliance Specialist will act as a liaison to regulatory agencies as part of their duties.

Is there an opportunity to participate in special projects within this role?

Yes, the Compliance Specialist will participate in special projects and perform other duties as assigned.

What is Vanguard's working model for this position?

Vanguard has implemented a hybrid working model, allowing for flexibility while enabling in-person learning, collaboration, and connection.

What educational qualifications are necessary for this position?

An undergraduate degree or an equivalent combination of training and experience is required for this position.

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Vanguard

Finance
Industry
10,001+
Employees
1975
Founded Year

Mission & Purpose

We are a community of 50 million who think—and feel—differently about investing. Together, we’re changing the way the world invests. Since our founding in 1975, helping investors achieve their goals has been our main reason for existence. At Vanguard, we’re built differently. Vanguard is investor-owned, meaning the fund shareholders own the funds, which in turn own Vanguard. When you’re surrounded by people who care about the same things, things tend to fall into place. With no other parties to answer to and therefore no conflicting loyalties, we make every decision—including keeping investing costs as low as possible—with your needs in mind. Because of our unique structure, your goals align with our goals. Whether you’re investing for your first house, college for your kids, or a comfortable retirement, you can be confident we’re on your side. That’s the value of ownership!