Senior Compliance Analyst, Know Your Customer

About the position Lead the Fight Against Financial Crime at Vanguard. Seeking individuals with experience in client risk screening, Enhanced Due Diligence checks, and supporting processes that protect our clients at the forefront in Vanguard's Know Your Customer (KYC) operations, supporting its Anti-Money Laundering (AML) Program. Add to your invaluable experience in compliance operations, collaborate with a team committed to financial integrity, and make a tangible impact on financial security while protecting shareholder assets. Join us! As a Senior Compliance Analyst, Know Your Customer at Vanguard, you will: Analyze and review client background and assist with the required reporting to the appropriate governmental agencies in a timely manner in accordance with regulatory guidelines. Use a variety of sources for compliance research, including internet sites, public records databases, past practice, and knowledge of Vanguard's operating philosophies. Conduct due diligence checks for both new clients and periodically review certain existing clients, support filing reports with the Financial Crimes Enforcement Network (“FinCEN”), and assist with Customer Identification Program (CIP) efforts as needed. Participate in initiatives and work collaboratively with the business to develop policies, procedures, and controls designed to ensure compliance with applicable laws and regulations related to Vanguard's Anti-Money-Laundering Program. Assist in presenting key findings and recommendations to Compliance management. Develop and maintain a broad knowledge and awareness of the investment industry and regulatory and/or policy changes with potential impact on compliance monitoring or reporting. Assist in developing and delivering training and education related to the Anti-Money-Laundering Program. Participate in special projects and perform other duties as assigned.

Responsibilities

• Analyze and review client background and assist with the required reporting to the appropriate governmental agencies in a timely manner in accordance with regulatory guidelines.
• Use a variety of sources for compliance research, including internet sites, public records databases, past practice, and knowledge of Vanguard's operating philosophies.
• Conduct due diligence checks for both new clients and periodically review certain existing clients.
• Support filing reports with the Financial Crimes Enforcement Network (FinCEN).
• Assist with Customer Identification Program (CIP) efforts as needed.
• Participate in initiatives and work collaboratively with the business to develop policies, procedures, and controls designed to ensure compliance with applicable laws and regulations related to Vanguard's Anti-Money-Laundering Program.
• Assist in presenting key findings and recommendations to Compliance management.
• Develop and maintain a broad knowledge and awareness of the investment industry and regulatory and/or policy changes with potential impact on compliance monitoring or reporting.
• Assist in developing and delivering training and education related to the Anti-Money-Laundering Program.
• Participate in special projects and perform other duties as assigned.

Requirements

• Minimum of two years KYC related work experience (preferred).
• Undergraduate degree or equivalent combination of training and experience.
• Ability to navigate an ambiguous environment.
• Strong critical thinking skills and ability to analyze data and information.
• Expertise in oral and written communication.
• Strong time management skills and ability to adapt to a changing environment.
• Ability to receive & apply feedback.
• Risk mitigation mindset to effectively safeguard our clients.

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