<p>Are you excited by the opportunity to help shape something new, while being supported by a team of experienced peers? Vanguard's Cash+ Program is a first-of-its-kind offer, and we're looking for a Compliance Specialist to help establish the monitoring and testing function that will support it. In this role, you'll not only build the compliance foundation for a new product but also influence how the offer scales across the business. It's a unique opportunity to apply your banking regulation expertise in a dynamic, high-impact environment, while contributing to an established team that values collaboration, curiosity, and continuous improvement.</p> <p>Responsibilities</p> <ul> <li>Completes routine monitoring and testing. Leads investigations of alleged violations of Vanguard's ethical standards and noncompliance with applicable laws, regulations and corporate policy issues. Serves as a partner to the business, and interfaces regularly with business area stakeholders and internal risk, audit, and compliance partners. </li><li>Prepares written inspection and assessment reports and provides recommendations for improvement. Provides guidance to mitigate compliance risks and control gaps. </li><li>Oversees the design, implementation, execution, and maintenance of compliance policies and procedures. Supports the development of new compliance standards. </li><li>Identifies and implements corrective action plans for resolution of problematic issues. Recommends practices to reduce potential for violations and noncompliance. </li><li>Manages operational efficiency. Sets measurable goals leveraging internal and external resources accordingly. Reports on the results of compliance and ethics initiatives of the business. </li><li>Follows approved monitoring and testing procedures and reports on corrective actions. </li><li>Maintains a deep knowledge and awareness of the investment industry. Stays abreast of current market, regulatory and industry relevant news. Serves as an expert on compliance related issues. Acts as a liaison to regulatory agencies. </li><li>Participates in special projects and performs other duties as assigned. </li></ul> <p>Qualifications</p> <ul> <li>Minimum of five years related work experience, with at least two years within a financial services compliance function. </li><li>Undergraduate degree or equivalent combination of training and experience. </li><li>Experience working with cash products and the related regulatory requirements (e.g., Regulation CC, Regulation E, NACHA, etc.,) </li><li>FINRA Series 7 and Series 24 licenses and/or CRCM Certification is strongly preferred </li></ul> <p>Special Factors</p> <p>Sponsorship</p> <p>Vanguard is not offering visa sponsorship for this position.</p> <p>About Vanguard</p> <p>At Vanguard, we don't just have a mission-we're on a mission.</p> <p>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.</p> <p>How We Work</p> <p>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.</p>