Core Compliance Specialist

Core Compliance Analyst

Location: London

Keywords: Compliance, Analyst, Financial Services, Regulatory Environment, Asset Management

Vanguard, is seeking a Core Compliance Analyst to join their European Compliance team based in London. This role is an exciting opportunity for an individual with a strong background in conduct compliance and excellent relationship management skills. The successful candidate will be responsible for providing guidance on personal conduct compliance under the Code of Ethics, managing multiple stakeholders globally, and supporting or leading other compliance projects and initiatives. With at least 2-3 years of relevant experience within investment management and/or financial services firm, you will play a key role in promoting adherence to regulatory requirements and internal policies and procedures.

• Join a global leader in investment management
• Work closely with teams across Europe and globally
• Opportunity to lead and support various compliance projects

What you'll do:

As a Core Compliance Analyst at Vanguard, your primary responsibility will be to provide input and guidance on personal conduct compliance under the Code of Ethics. You will manage multiple stakeholders globally, ensuring that all queries are responded to promptly and effectively. Your role will also involve leading routine oversight of the firm's compliance with the Code of Ethical Conduct. In addition, you will prepare action plans for resolution in case of breaches, maintain written procedures documenting compliance processes, produce relevant MI reporting, and oversee regulatory filings via FCA Connect. Your ability to build strong working relationships with key stakeholders will be crucial in this role.

• Facilitate and implement compliance processes in line with regulatory requirements.
• Manage team mailbox/correspondence and respond to queries from stakeholders.
• Lead routine oversight of firm and staff's compliance with Code of Ethical Conduct.
• Provide guidance, respond to queries and proactively recommend practices to reduce breaches or non-compliance.
• Prepare action plans for resolution in the event of breaches, if required.
• Maintain written procedures documenting compliance processes.
• Build and maintain strong working relationships with key stakeholders.
• Produce relevant MI reporting.
• Submission and oversight of regulatory filings via FCA Connect.

What you bring:

As a Core Compliance Analyst, you bring significant experience in the UK regulatory environment within a financial services organisation. Your ability to interpret and explain relevant regulatory requirements is second to none. You have a broad interest in FCA rules, coupled with an attention to detail that ensures high-quality delivery. Your confidence when dealing with stakeholders across all levels of seniority, your ability to manage multiple tasks and deadlines, and your excellent presentation skills make you an ideal candidate for this role. Your analytical skills, allied with creative thinking, will be key in driving the culture of compliance within the organisation.

• Experience in the UK regulatory environment at a financial services organisation, ideally an Asset Management firm.
• Ability to interpret and explain relevant regulatory and internal Policies' requirements.
• Broad interest and understanding of FCA rules.
• Attention to detail and commitment to high quality and timely delivery.
• Confident dealing with stakeholders across all levels of seniority.
• Ability to work on multiple tasks with competing deadlines and prioritize appropriately.
• Excellent written and verbal presentation skills.
• Analytical skills allied with creative thinking.
• Excellent interpersonal skills.

About Vanguard

Vanguard is an investment company unlike any other. It was founded by Jack Bogle in the US in 1975 on a simple but revolutionary idea: that an investment company should manage its funds solely in the interests of its clients. Jack helped bring investing to the masses with the index fund. Index funds do not pick individual shares or bonds to beat the market. They track the performance of the entire market. Or as Jack put it, "Don't look for the needle in the haystack. Just buy the haystack!". We have stood for low-cost, uncomplicated investing ever since. Over the last 45 years people have come round to our way of thinking and more than 30 million investors worldwide now trust us with their money

Inclusion Statement

Vanguard's continued commitment to diversity and inclusion is firmly rooted in our culture. Every decision we make to best serve our clients, crew (internally employees are referred to as crew), and communities is guided by one simple statement: "Do the right thing."

We believe that a critical aspect of doing the right thing requires building diverse, inclusive, and highly effective teams of individuals who are as unique as the clients they serve. We empower our crew to contribute their distinct strengths to achieving Vanguard's core purpose through our values.

When all crew members feel valued and included, our ability to collaborate and innovate is amplified, and we are united in delivering on Vanguard's core purpose: to take a stand for all investors, to treat them fairly, and to give them the best chance for investment success.

We are committed to offering an inclusive recruitment experience. If you require accommodations because of disability or health condition, please email: gscemeaedi @ robertwalters.com. This position is being sourced through our Outsourcing service line.