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About the Role
Join Vanguard's Financial Crime team as a Financial Crime Operations Analyst, conducting Customer Due Diligence (CDD), Enhanced Due Diligence (EDD), Source of Wealth (SoW) assessments, and periodic reviews of higher-risk customers. Utilize analytical skills to assess financial crime risk, support customer risk assessments, and ensure regulatory compliance.
Responsibilities
- Support the development, implementation, and testing of financial crime controls.
- Conduct Customer Due Diligence (CDD), Enhanced Due Diligence (EDD), Source of Wealth (SoW) reviews, and periodic customer reviews.
- Analyze information from various sources, document findings, and contribute to management reporting.
- Support the ongoing monitoring and effectiveness of internal financial crime controls and processes.
- Partner with stakeholders to support audit activity, regulatory requirements, and risk mitigation initiatives.
- Build strong relationships with internal and external stakeholders for effective risk management.
- Promote a strong culture of compliance by sharing knowledge and raising awareness of financial crime.
- Contribute to projects and continuous improvement initiatives to enhance Vanguard's financial crime framework.
Requirements
- Experience in AML/KYC, CDD, EDD, Source of Wealth, or periodic review activities within Financial Services.
- Strong understanding of Financial Crime regulations and lifecycle, including AML, Sanctions, Bribery and Corruption, and Tax Evasion.
- Experience assessing Asset management customer risk (including high risk) and complex ownership structures.
- Strong analytical and investigative skills with the ability to make sound, risk-based decisions.
- Ability to produce clear, concise, and evidence-based holistic risk assessments.
- Excellent attention to detail and organizational skills.
- Undergraduate degree or equivalent combination of training and experience.
Skills
- AML
- KYC
- CDD
- EDD
- Source of Wealth
- Sanctions
- Bribery and Corruption
- Tax Evasion
- Customer screening
- Case management
- Risk assessment tools
Location
- Hybrid
Work Type
- Hybrid
- Full-time
Experience Level
- Mid-level
Education Level
- Undergraduate degree or equivalent combination of training and experience
About the Company
- Vanguard is a different kind of investment company, founded in 1975 with the principle that an investment company should manage its funds solely in the interests of its clients.
- This philosophy has helped millions achieve their goals with low-cost, uncomplicated investments.
- Vanguard's mission is to give investors the best chance for investment success.
- Vanguard has implemented a hybrid working model designed to capture flexibility while enabling in-person learning, collaboration, and connection.
Equal Opportunity
- Vanguard’s continued commitment to diversity and inclusion is firmly rooted in our culture.
- Every decision we make to best serve our clients, 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: to take a stand for all investors, to treat them fairly, and to give them the best chance for investment success.