Head of Compliance - Retail Product and MarketingCompany: Vanguard Group
Location: Melbourne, Australia
Posted: 3 days ago
Type: Permanent
Salary: Competitive
About Vanguard
More than 45 years ago, John C. Bogle had a vision to start an investment company that did things differently. A company with no external shareholders. Where all the profits were invested back into the business and used to lower costs. Evidently, it was as bold as it was brilliant. To this day, Vanguard Group still has no external shareholders. That means no share prices to protect, and no profits to generate for outside owners.
Today, Vanguard is one of the world's largest investment management companies, serving more than 50 million investors worldwide. For more than 25 years, Vanguard Australia has been supporting individual investors, financial advisers, and superannuation members to achieve their long-term financial goals.
Team and Opportunity
As the Head of Compliance - Retail Product and Marketing, you would be tasked with leading a compliance advisory team responsible for the development, implementation, and maintenance of compliance processes related to key client-facing business areas.
Core Responsibilities Coach, lead and manage the team so that divisions are provided with balanced compliance support and advice with a focus on superannuation, personal investor and financial adviser services divisions.Provides guidance and training as necessary to develop crew. Sets performance standards, reviews performance, and makes informed compensation decisions in accordance with all applicable Human Resources policies and procedures.Partners with business leaders and senior stakeholders to establish and maintain positive relationships that enable rather than hinder the business in meeting its objectives.Provides strategic compliance support for business initiatives, activities and new product and digital channels.Responsible for maintaining compliance policies and procedures for the effective and compliant business activities.Serves as an expert and key resource related to compliance issues. Identifies and implements corrective action plans for resolution of complex, problematic issues.Participates in special projects and performs other duties as assigned.Qualifications Minimum of eight years compliance related work experience.A pragmatic and commercial mindset focused on delivering business enabling and compliant outcomes.Wealth management experience in superannuation and funds management required.A demonstrated history of effective and inclusive people leadership and strategic vision especially relating to compliance.Undergraduate degree or equivalent combination of training and experience.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.
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.
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