In this role you will monitor global substantial shareholder disclosure obligations for Vanguard's complexes and portfolios. You will will analyze position and trade data to identify ownership threshold triggers and ensure accurate, timely, and jurisdiction-specific regulatory reporting.
Responsibilities- Monitor and execute global substantial shareholder disclosure obligations across multiple jurisdictions, ensuring accurate, timely, and regulator-compliant reporting.
- Analyze portfolio holdings and transaction data to identify ownership threshold triggers, change-in-ownership events, and applicable disclosure or takeover-related filing requirements.
- Research, review, and reconcile ownership compliance summaries to support Vanguard's adherence to global substantial shareholder and takeover regulations.
- Interpret regulatory requirements and legal guidance, translating them into operational rules and decision frameworks for post-trade compliance systems.
- Partner with internal teams, external counsel, and third-party vendors to implement, maintain, and enhance compliance rules within operating systems and monitoring tools.
- Maintain and update a centralized library of compliance documentation, ensuring materials reflect current substantial shareholder and takeover requirements and are appropriately communicated to stakeholders.
- Analyze complex transaction, ownership, and trading activity across global markets and present risk-related findings, escalations, and trends to leadership and relevant stakeholders.
- Serve as a subject matter specialist for global substantial shareholder disclosures and takeover regimes, acting as a liaison with regulatory bodies, external counsel, system vendors, and global service providers.
- Stay current on global regulatory, market, and industry developments impacting ownership disclosure, takeover, and post-trade compliance obligations.
- Participate in strategic initiatives, control enhancements, and special projects, while continuing to support daily regulator-facing execution.
Qualifications - Experience in compliance, regulatory reporting, post-trade operations, or a related financial services function, with exposure to ownership monitoring, regulatory disclosures, or transaction-driven reporting requirements.
- Ability to analyze complex portfolio holdings and transaction data and apply ownership thresholds, change-in-control concepts, and regulatory rules to real-world scenarios.
- Strong analytical skills with the ability to interpret regulations and legal guidance and translate requirements into practical, operational solutions.
- Bachelor's degree or an equivalent combination of education, training, and relevant experience.
Special FactorsSponsorshipVanguard is not offering visa sponsorship for this position.
