Compliance Specialist, Vanguard Canada
As a Compliance Specialist with Vanguard Canada you will lead and perform compliance activities to effectively protect the organization’s business interests and drive outcomes.
You will support the development, implementation, and maintenance of compliance processes, as well as compliance monitoring functions.
You will serve as a trusted advisor to the business and provide guidance and oversight of regulated activities.
This role :
Performs or oversees various regular regulatory filings and compliance reviews to support the compliance regime. Prepares related reporting and provides guidance to the business to mitigate risks and control gaps.
Serves as an advisor to the business, working in co-operation with other members of the wider Vanguard Legal and Compliance team globally, as required.
Serves as an expert on compliance related issues including, for example, Vanguard’s code of ethical standards, marketing, social media, sales practices, individual registrations and oversight of third parties.
Participates in developing and writing new compliance policies and procedures. Develops and delivers compliance training.
Maintains a broad knowledge of the investment industry. Stays abreast of current market, regulatory and industry relevant news.
Acts as a liaison to regulatory agencies.
Participates in special projects and performs other duties as assigned.
What it takes :
Minimum of five years related work experience. Regulatory, compliance, investment, or auditing experience preferred.
Undergraduate degree or equivalent combination of training and experience.
Excellent verbal and written communication skills.
Strong stakeholder management skills.
Experience supporting problem identification and resolution in a previous role.
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.
Healthcare Compliance Specialist
Position: Healthcare Compliance SpecialistLocation: Markham, ON - Hybrid (On-site full-time for first 2 months, then 3 days on-site ongoing)Salary: Up to $31/hourStart Date: January 27, 2025Job Type: 1-year contract, with potential extension based on performance and business needsAbout the Role:We'r...
Environmental Compliance Specialist
Environmental Compliance Specialist. Under the direction of the Environmental Compliance Lead, carry out review of the contractors’ regulatory compliance during construction to ensure that environmental requirements are correctly established, implemented, and maintained during construction activitie...
Research & Compliance Specialist
The Research & Compliance Specialist is responsible for providing assistance to the Research & Compliance Office within the Wildlife Science Division and assists with core research operations and regulatory compliance activities. Assists the Research & Compliance Officer with correspondence, memos a...
Audit & Compliance Specialist
The Audit & Compliance Specialist will be responsible for evaluating the effectiveness of the company’s internal controls, risk management processes, governance practices, as well as administering the Corporate Insurance Program. Audit activities include analyzing financial and operational processes...
Environmental Compliance Specialist
The successful candidate will support compliance program management, auditing, reporting, incident management, program development and implementation, hazard identification, and training programs. Review program documentation for compliance and provide recommendations. Assess existing courses for co...
Senior Information Security Compliance Specialist
Audit Specialist is a key partner with SAP External Auditors, as well as internal risk, continuous monitoring, remediation, and cyber compliance program managers. We are looking for candidates with specialized experience in government audit program like ITSG-33/Protected B, FedRAMP, PCI DSS, DoD com...
Trade Compliance Specialist
The Trade Compliance Specialist is responsible for ensuring we maintain compliance with all cross-border shipments and current on all reporting requirements. Strong understanding the requirements to maintain compliance with all regulatory policies for cross-border shipments. Certified Customs Specia...
Branch Supervision (Compliance) Specialist
VIRTUAL(R)52 - REMOTE/TELETRAVAIL - BC - NBS.Supports sales supervision activities and regulatory activities for designated branches to meet all regulatory requirements.Evaluates the strength and effectiveness of supervision and adoption of policies, processes at the branch level and develops action...
Operations and Corporate Compliance Senior Specialist
Reporting to the Director, Operations and Regulatory Compliance, the Operations and Regulatory Compliance Specialist Senior is responsible for completing regular monitoring and reporting on operational compliance matters, maintaining and updating compliance policies, preparing and presenting materia...
Compliance Control Testing Specialist, Wealth
Communicate M&T identified issues to the businesses, 1LOD Compliance Advisory, 2LOD Compliance, 2LOD Risk. Deliver on components of the 1LOD testing plans for Wealth LOBs' in accordance with the Enterprise Compliance Program and Operational Non-Financial Risk Framework. Understand Enterprise Complia...