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.

Compliance Advisory Specialist

Job Description