Compliance Advisory Specialist- Sm&cr

6 months ago

London, United Kingdom Vanguard Full time

Leads and performs compliance inspections. Supports the development, implementation, and maintenance of compliance processes, as well as compliance monitoring functions. Serves as a trusted advisor to the business and provides guidance and oversight of regulated activities.

Vanguard European Conduct Office

To work with and support the Head of Conduct, Europe to provide a seamless and efficient service to the business in respect of the Senior Managers & Certification Regime (“**SM&CR**”).

**The role**:

- Advises in respect of compliance with SM&CR and provides support to Senior Managers, Certified and Conduct Crew at Vanguard.
- Advises Senior Managers in respect of their responsibilities, obligations and record keeping: to include maintaining and updating SM&CR documents, Management Responsibility Maps, Reasonable Steps Approach and Statement of Responsibilities.
- Develops and optimises processes to support SM&CR and Vanguard’s compliance with the regime.
- Manages the technology platform to support Vanguard’s compliance with SM&CR and Certification Regime requirements.
- Manages the Annual Certification Process in respect of SM&CR.
- Develops and maintains training and communication materials to support compliance with SM&CR and Conduct Rules, e.g., induction materials for new Senior Managers and training materials for all Crew.
- Supports the European Conduct Office’s other projects, endeavors and standards by maintaining the Conduct Office’s standards (through work ethic, responsiveness to clients, attitude, adherence to the Vanguard Code of Ethics and exercise of good judgment), initiating and implementing new projects as necessary or appropriate.
- Develops and maintains expertise in applicable areas of the law, particularly SM&CR, Vanguard's business and the financial services industry, through keeping current on industry and regulatory developments affecting our business, fostering an interest in Vanguard's initiatives and new services and products offered, and researching applicable law, reading legal publications, and/or attending legal seminars.
- Participates in special projects and performs other duties as assigned.

**What it takes**:

- Previous SM&CR experience gained from working at an Asset Manager / Bank / Regulator.
- Good knowledge of the FCA rules related to SM&CR, Governance, Training & Competence and Fitness & Probity and the UK regulatory framework.
- Ability to stay on top of changing regulation and quickly interpret and advise senior management and other stakeholders.
- Strong written and oral communication skills - ability to interpret complex regulations in simplified text.
- Attention to detail and commitment to high quality and timely delivery.
- Ability to work with a high degree of autonomy and show initiative.
- Experience using Accord / Worksmart.

**Special Factors**:

- Vanguard is not offering visa sponsorship for this position.
- This position is hybrid and would require you to work in the office location Tuesday, Wednesday and Thursday.

**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 supervise 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 dedication 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.

Our core purpose: To take a stand for all investors, to treat them fairly, and to give them the best chance for investment success.

**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 suppor

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