Compliance Advisory Specialist
Vanguard · Dublin
The Role
Vanguard Ireland is a leading investment company / fund manager providing a wide range of UCITS funds and ancillary services throughout Europe and across the globe. As a market leader, the talent and passion of our crew is critical to our success. Together, we share a common set of values rooted in integrity, excellence, and a strong investor first ethic. Vanguard Ireland provides a superior foundation for building a professional career - a place for people to learn, to achieve and grow. Our philosophy aims to balance personal lifestyles, perspectives and crew/client needs as an important part of our culture.
The Compliance team in Ireland forms a critical part of European compliance and supports Vanguard’s activities in Ireland and continental Europe. The compliance team based in Ireland includes a range of activities such as compliance advisory, monitoring and testing, central compliance, enterprise compliance, regulatory affairs and anti-financial crime.
The Compliance Specialist will join European Compliance based in Dublin and report to senior Compliance leadership in Ireland. The role provides independent second-line advice, oversight and constructive challenge in support of Vanguard’s regulated activities and wider European business.
This is a substantive individual-contributor role for a Compliance professional who can take ownership of assigned matters, interpret regulatory requirements, assess risk and deliver high-quality work with an appropriate degree of independence.
In this role you will
The role involves a broad range of Compliance responsibilities, including:
- Provide clear, practical and risk-based Compliance advice to business stakeholders on the application of Irish and EU regulatory requirements, internal policies and regulatory expectations
- Exercise independent judgement and provide constructive challenges to first-line proposals, activities and controls, documenting conclusions and escalating where appropriate
- Support oversight of the Vanguard’s Irish regulated activities, including relevant product, distribution, delegation, outsourcing and European branch activities
- Interpret regulatory developments and contribute to impact assessments, implementation plans, policies, procedures, training and communications that translate requirements into practical actions
- Interpret regulatory developments and contribute to impact assessments, implementation plans, policies, procedures, training and communications that translate requirements into practical business actions
- Support senior Compliance leaders in responding to information requests, supervisory engagements, inspections and other interactions with the Central Bank of Ireland and, where relevant, other European regulators
- Contribute to a strong Compliance culture by sharing knowledge, supporting colleagues and helping improve the effectiveness and efficiency of Compliance processes
- Participates in special projects and engages with colleagues in European Compliance, Legal, Risk and other functions as required
What it takes
- Experience in asset management, a UCITS management company, MiFID investment firm, fund governance, distribution or related regulated activities
- Knowledge of Central Bank of Ireland requirements and supervisory expectations, including the relevant governance, conduct and fitness and probity requirements
- Familiarity with UCITS, MiFID II, cross-border distribution, marketing compliance or investment-related compliance matters
- Experience contributing to regulatory change, compliance risk assessments, monitoring or thematic review activity, remediation oversight, senior-management reporting or regulatory engagement
- A relevant professional qualification in Compliance, law, risk, accountancy or financial services
Special Factors
- Vanguard is not offering visa sponsorship for this position
- This is a hybrid position and would require you to work in the office 3 days per week (Tuesday, Wednesday & Thursday)
- Please note that we review applications on a rolling basis and may close this role early if there is a high level of interest. To avoid missing out, we recommend applying as soon as possible
Why Vanguard?
Vanguard is a different kind of investment company. It was founded in the United States in 1975 on a simple but revolutionary idea: that an investment company should manage its funds solely in the interests of its clients.
This is a philosophy that has helped millions of people around the world to achieve their goals with low-cost, uncomplicated investments.
It's what we stand for: value to investors.
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.