Product Compliance Manager

Vanguard

Melbourne

2 weeks ago

Melbourne

2 weeks ago

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Product Compliance Manager

Vanguard seeks a Product Compliance Manager in Melbourne to provide regulatory advice, support product disclosures, manage compliance programs, and lead policy reviews for managed investment schemes. Requires 8+ years experience, including 5+ years in financial services product or compliance roles.

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Hybrid

Full-time

Senior

Salary

Not specified

Work Location

Melbourne, Victoria, Australia, AU

Work Model

Hybrid: majority of crew members work under hybrid model designed to capture benefits of enhanced flexibility while enabling in-person learning, collaboration, and connection

Experience Required

8 years

Employment Type

Full-time

Experience Level

Minimum of 8 years related work experience, with at least 5 years within financial services in product management or Compliance function

Core Qualifications

Soft Skills

communicationcollaborationrelationship buildingproblem solving

Key Responsibilities

•Provide advice & challenge by assessing regulatory requirements for responsible business lines and suggesting courses of action for business leads
•Provide compliance advice & challenge on sufficiency of documented controls
•Provide advice and support to Product and ETF Capital Markets functions regarding product disclosures including target marketing determinations
•Advise and support establishment of strategic partnerships and design/implement commensurate compliance program
•Assist with complex breach assessment and advise on remediation approach
•Support and advise on ongoing fund monitoring
•Identify and deliver compliance training needs for functions, including maintenance of online compliance training material
•Participate in special projects and perform other duties as assigned
•Lead the review and maintenance of the Compliance Plan for Vanguard's managed investment schemes
•Design and maintain policies and procedures to address identified compliance risks and fulfill compliance obligations
•Assist with assessment of complex incidents and breaches and support the business define resolution and remediation activities
•Collate information required and work with Compliance Reporting Team to prepare Compliance reports and attend steering committees & management meetings
•Communicate new regulatory developments and requirements, effect timely changes to policies, processes, and training

Product Compliance ManagerFinancial ServicesLegalComplianceManaged Investment SchemesETFMelbourneHybridVanguard

Key Responsibilities

•Provide advice & challenge by assessing regulatory requirements for responsible business lines and suggesting courses of action for business leads

•Provide compliance advice & challenge on sufficiency of documented controls

•Provide advice and support to Product and ETF Capital Markets functions regarding product disclosures including target marketing determinations

•Advise and support establishment of strategic partnerships and design/implement commensurate compliance program

•Assist with complex breach assessment and advise on remediation approach

•Support and advise on ongoing fund monitoring

•Identify and deliver compliance training needs for functions, including maintenance of online compliance training material

•Participate in special projects and perform other duties as assigned

•Lead the review and maintenance of the Compliance Plan for Vanguard's managed investment schemes

•Design and maintain policies and procedures to address identified compliance risks and fulfill compliance obligations

•Assist with assessment of complex incidents and breaches and support the business define resolution and remediation activities

•Collate information required and work with Compliance Reporting Team to prepare Compliance reports and attend steering committees & management meetings

•Communicate new regulatory developments and requirements, effect timely changes to policies, processes, and training