Job Information
Vanguard Associate, Legal & Compliance Specialist in Mexico City, Mexico
About Vanguard
Founded in 1975, Vanguard is one of the world's leading investment management companies. The firm offers investments, advice, and retirement services to individual investors, institutions, and financial professionals. Vanguard operates under a unique, investor-owned structure where Vanguard fund shareholders own the funds, which in turn own Vanguard. As such, Vanguard adheres to a simple purpose: To take a stand for all investors, to treat them fairly, and to give them the best chance for investment success.
About the LatAm Office
The LatAm leadership team and crew recently commemorated the 2023 five-year anniversary of the official Mexico City office opening and of its investment advisory license. While Vanguard has been serving clients in the region for 20 years, the firm’s efforts really took off by establishing a local presence, planting deep roots within the LatAm investment ecosystem to better serve all LatAm investors.
Summary
The Associate, Legal & Compliance Specialist will support Vanguard Mexican and Latin-American business by providing legal and compliance support on a variety of securities law, investment management and business issues.
What It Takes
Develops and implements internal policies and procedures where appropriate due to legal, regulatory, industry and business developments. Monitors compliance with policies and procedures, including Vanguard's Code of Ethics policy, and conducts compliance audits and reporting to Vanguard LATAM's Head of Legal and Compliance and business leaders, including Vanguard Mexico's Board of Directors when necessary.
Provides legal advice and support in connection with business initiatives, including activities related to investment products, advisory services, capital markets, and corporate matters. Provides day-to-day legal advice on matters impacting the Mexican and the Latin-American business.
Conducts Anti-Money Laundering activities and supports AML Officer including implementation and maintenance of related policies, manuals, and practices to prevent and detect transactions, conducting necessary reporting and disclosure filings.
Directs and collaborates with external counsel as required in the most effective manner.
Provides training to Mexico crew to increase level of compliance awareness.
Ensures readiness for and assists with regulatory examinations and internal reviews, such as risk and audit.
Develops and maintains a knowledge and awareness of investment industry, regulatory and/or policy developments and analyzes the impact of such developments on Vanguard Mexico's business and existing policies and procedures.
Manages effective working relationships across Vanguard and with regulatory agencies by developing, maintaining, and broadening lines of communication between and with
the LATAM’s Head of Legal and Compliance, business leaders and other compliance and legal colleagues.
Supports Vanguard LATAM’s regulatory advocacy by dedicating appropriate time to developing Vanguard LATAM's position on significant legal and policy matters and by effectively communicating these positions to regulators. Participates in the development of Vanguard’s “Regulatory Affairs” approach across international locations by collaborating with other crew covering similar ground.
Participates in special projects and performs other duties as assigned.
Qualifications
Minimum of 8 years of legal and compliance experience.
Licenciatura en derecho (Law degree) required.
Demonstrated written and verbal communication skills in both English and Spanish. Fluent in English and Spanish.
In depth knowledge of legal, compliance and regulatory landscapes in Mexico.
Special Factors
Minimum 4 years of related experience in financial services industry and familiarity with regulatory and compliance requirements of financial services business; investment management experience preferred.
Previous experience as leader of a compliance function is a plus.
Previous experience at a law firm is a plus.
CNBV Certification for Compliance preferred.
This position is based in Mexico City, Mexico and may require business travel to other Vanguard entities.
Vanguard is not offering visa sponsorship for this position.
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.
Vanguard, one of the world's largest investment management companies, serves individual investors, institutions, employer-sponsored retirement plans, and financial professionals. We have a diverse and talented crew with a culture that promotes teamwork, along with an unwavering focus on serving our clients' best interests.
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