Fixed Income Trading Compliance and Controls – Senior Analyst

May 1, 2019|Malvern, PA, US
Job Requisition #123317

The Trading Compliance and Controls Analyst will provide global operational risk management leadership for Investment Management Group (IMG) through the design and governance of operational risk management strategies. Collaboration and periodic support for global operational risk functions in all regions.

Duties and Responsibilities:

  • Leading the review, validation and enhancement of compliance rules within the Order Management Systems (CRD and BlackRock Aladdin) to ensure all regulatory requirements, prospectus rules and investment directive(s) are met.
  • Working with the PMs / Traders to implement additional alerts / warnings which will improve efficiency / effectiveness of the PM lifecycle and reduce risk.
  • Leading regular readouts to Senior Leaders across the investment group and other key partners (e.g. Legal and Compliance) on the effectiveness of the pre-trade compliance program.
  • Decision input into the trades when a pre-trade alert Is flagged.
  • Monitoring of overnight portfolio alerts and warnings and performing trend analysis to identify if amendments are needed.
  • Strategic ‘initiative’ work – constantly be working with PMs and Traders to fundamentally improve how things work.
  • Performing reviews of controls within Execution Management Systems (EMS) on a periodic basis and proposing enhancements where needed.
  • Developing appropriate ‘forensic’ tests to highlight potential areas of concern pertaining to trading compliance.
  • Determining the alerts / warnings that may be required for new funds as they launch.
  • Ideally have experience of coding within the Order Management Systems.
  • Ideally have experience of developing workflow monitors within the Order Management Systems.

Qualifications:

  • Undergraduate degree or equivalent combination of training and experience.
  • Minimum of five or more years of related and progressive work experience.
  • Knowledge of Equity and Fixed Income Order Management Systems preferred.
  • Professionalism in managing multiple priorities and performing complex analysis under tight deadlines.
  • Strong working knowledge of mutual funds and investment operations or investment systems.
  • Excellent verbal and written communication skills.
  • Experience designing, building and assessing operational risk, compliance and controls program.
  • Proven ability to interact and build effective working relationships with peers and senior management.
  • Expertise in MS Office applications.
  • Sound business judgment, ability to influence others, and ability to apply practical thinking.

Vanguard is not offering visa sponsorship for this position.

About Vanguard

We are Vanguard. Together, we’re changing the way the world invests.

For us, investing doesn’t just end in value. It starts with values. Because when you invest with courage, when you invest with clarity, and when you invest with care, you can get so much more in return. We invest with purpose – and that’s how we’ve become a global market leader. Here, we grow by doing the right thing for the people we serve. And so can you.

We want to make success accessible to everyone. This is our opportunity. Let’s make it count.

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.

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

May 1, 2019|Malvern, PA, US
Job Requisition #123317

The Trading Compliance and Controls Analyst will provide global operational risk management leadership for Investment Management Group (IMG) through the design and governance of operational risk management strategies. Collaboration and periodic support for global operational risk functions in all regions.

Duties and Responsibilities:

  • Leading the review, validation and enhancement of compliance rules within the Order Management Systems (CRD and BlackRock Aladdin) to ensure all regulatory requirements, prospectus rules and investment directive(s) are met.
  • Working with the PMs / Traders to implement additional alerts / warnings which will improve efficiency / effectiveness of the PM lifecycle and reduce risk.
  • Leading regular readouts to Senior Leaders across the investment group and other key partners (e.g. Legal and Compliance) on the effectiveness of the pre-trade compliance program.
  • Decision input into the trades when a pre-trade alert Is flagged.
  • Monitoring of overnight portfolio alerts and warnings and performing trend analysis to identify if amendments are needed.
  • Strategic ‘initiative’ work – constantly be working with PMs and Traders to fundamentally improve how things work.
  • Performing reviews of controls within Execution Management Systems (EMS) on a periodic basis and proposing enhancements where needed.
  • Developing appropriate ‘forensic’ tests to highlight potential areas of concern pertaining to trading compliance.
  • Determining the alerts / warnings that may be required for new funds as they launch.
  • Ideally have experience of coding within the Order Management Systems.
  • Ideally have experience of developing workflow monitors within the Order Management Systems.

Qualifications:

  • Undergraduate degree or equivalent combination of training and experience.
  • Minimum of five or more years of related and progressive work experience.
  • Knowledge of Equity and Fixed Income Order Management Systems preferred.
  • Professionalism in managing multiple priorities and performing complex analysis under tight deadlines.
  • Strong working knowledge of mutual funds and investment operations or investment systems.
  • Excellent verbal and written communication skills.
  • Experience designing, building and assessing operational risk, compliance and controls program.
  • Proven ability to interact and build effective working relationships with peers and senior management.
  • Expertise in MS Office applications.
  • Sound business judgment, ability to influence others, and ability to apply practical thinking.

Vanguard is not offering visa sponsorship for this position.

About Vanguard

We are Vanguard. Together, we’re changing the way the world invests.

For us, investing doesn’t just end in value. It starts with values. Because when you invest with courage, when you invest with clarity, and when you invest with care, you can get so much more in return. We invest with purpose – and that’s how we’ve become a global market leader. Here, we grow by doing the right thing for the people we serve. And so can you.

We want to make success accessible to everyone. This is our opportunity. Let’s make it count.

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.

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

Our commitment to equal employment opportunity

Vanguard is an equal opportunity employer. Vanguard is committed to providing all crew members a working environment that is free from discrimination, prejudice and bias. Through this Equal Employment Opportunity (EEO) Policy, Vanguard reaffirms its commitment to equal employment opportunity for all applicants and crew members without regard to race, color, national origin or ancestry, religion, gender, sex, sexual orientation, gender identity or expression, age, disability, marital status, veteran or military status. In addition, Vanguard prohibits discrimination based on genetic information, as well as any other characteristic protected by federal, state or local law.

Applicants with disabilities may be entitled to reasonable accommodation under the Americans with Disabilities Act and certain state or local laws. A reasonable accommodation is a change in the way things are normally done which will ensure an equal employment opportunity without imposing undue hardship on Vanguard. Please inform careers@vanguard.com if you need assistance completing this application or to otherwise participate in the application process.

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