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Substantial Shareholding Disclosures Specialist
Risk & Compliance
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 Factors
Sponsorship
Vanguard is not offering visa sponsorship for this position.About Vanguard
At Vanguard, we don't just have a mission—we're on a mission.
To work for the long-term financial wellbeing of our clients. To lead through product and services that transform our clients' lives. To learn and develop our skills as individuals and as a team. From Malvern to Melbourne, our mission drives us forward and inspires us to be our best.
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.