Compliance Analyst Regulatory Affairs

The Vanguard Group; Greater London; Hybrid; GBP 40,000 - 60,000; Full time

Job summary

A leading investment company based in the UK is seeking a Compliance Analyst to support their Regulatory Affairs team. In this role, you'll focus on facilitating interactions with the Financial Conduct Authority and contributing to regulatory processes across borders. The ideal candidate should possess a strong background in compliance within financial services, excellent organizational and communication skills, and a keen attention to detail. This position is integral to maintaining high standards in compliance and requires autonomy and initiative. Employment offers a hybrid working model.

Qualifications

• Prior experience in a compliance or regulatory role within financial services.
• Familiarity with FCA regulatory processes is advantageous.
• Ability to manage multiple tasks effectively.
• High attention to detail with a proactive problem-solving approach.

Responsibilities

• Work closely with the Head of Regulatory Affairs for regulatory support.
• Coordinate regulatory correspondence and maintain accurate records.
• Assist in preparing materials for meetings and communications with regulators.
• Track and manage regulatory commitments for timely responses.
• Conduct internal briefings and align stakeholders before regulatory meetings.
• Keep logs and documentation updated for all regulatory interactions.
• Liaise with internal teams for consistent regulatory responses.
• Support cross-border reporting for multiple jurisdictions.
• Monitor regulatory developments and industry trends.

Skills

Strong organisational skills

Excellent communication skills

Attention to detail

Ability to work autonomously

PowerPoint presentation skills

Job description

The role

As a Compliance Analyst youll be at the heart of our regulatory strategy supporting the Regulatory Affairs team within the Compliance function of the Office of the General Counsel (OGC). This is more than an administrative roleits an opportunity to contribute to critical regulatory engagements that shape how we operate in a highly dynamic financial environment.

Reporting directly to the Head of Regulatory Affairs you will help drive the teams day-to-day operations and coordinate key interactions with the Financial Conduct Authority (FCA). Your work will ensure smooth regulatory processes and strengthen our relationships with key stakeholders.

Beyond the UK youll collaborate with colleagues from Vanguards Irish Management Company (VGIL) and German entity (VGEG) playing a pivotal role in maintaining consistent regulatory standards and seamless information flow across jurisdictions. This position is perfect for someone who thrives on precision enjoys cross-border collaboration and wants to make an impact in a global compliance landscape.

Key responsibilities

• Partner with Leadership - Work closely with the Head of Regulatory Affairs and the wider team to deliver high-quality regulatory support
• Drive Regulatory Engagements - Coordinate and maintain accurate records of all regulatory correspondence and interactions particularly with the FCA ensuring transparency and accountability
• Shape Regulatory Submissions - Assist in preparing impactful materials for meetings submissions and ongoing communications with regulators
• Own Deadlines and Deliverables - Track and manage regulatory commitments to guarantee timely and accurate responses
• Enable Strategic Briefings - Organise internal briefings and align stakeholders ahead of key regulatory meetings
• Maintain Critical Documentation - Keep logs and documentation up to date for all regulatory interactions and requests
• Collaborate Across the Business - Liaise with internal teams to gather insights, ensuring consistency in regulatory responses
• Support Cross-Border Reporting - Contribute to the collation of European input for regulatory reporting across multiple jurisdictions
• Stay Ahead of Change - Help the team monitor regulatory developments and industry trends to inform proactive decision-making

What it takes

Prior experience in a compliance regulatory or administrative support role within financial services is preferred

Familiarity with FCA regulatory processes is advantageous

Strong organisational and time management skills with the ability to manage multiple tasks

Excellent written and verbal communication skills

Ability to create and present high quality written and PowerPoint presentations for consumption by the Board and Senior Management

Ability to work collaboratively across teams and jurisdictions

High attention to detail and a proactive approach to problem-solving

Attention to detail and commitment to high quality and timely delivery

Ability to work with a high degree of autonomy and show initiative

This role encompasses activities that fall within the remit of UK Financial Conduct Authority (FCA) regulation. The successful candidate will therefore be subject to UK regulatory requirements in relation to conduct rules regulatory references and the assessment of fitness and propriety knowledge experience and competence. Where appropriate the role may also be subject to approval by the UK FCA.

Why Vanguard

Vanguard is a different kind of investment company. It was founded in the United States in 1975 on a simple but revolutionary idea : that an investment company should manage its funds solely in the interests of its clients.

This is a philosophy that has helped millions of people around the world to achieve their goals with low-cost uncomplicated investments.

Its what we stand for : value to investors.

Inclusion Statement

Vanguards continued commitment to diversity and inclusion is firmly rooted in our culture. Every decision we make to best serve our clients crew (internally employees are referred to as 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 Vanguards 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 Vanguards core purpose : to take a stand for all investors to treat them fairly and to give them the best chance for investment success.

Our commitment to equal employment opportunity

Vanguard is an equal opportunity employer. Vanguard is committed to providing all crew members a working environment that is free from discrimination prejudice and bias. Through this Equal Employment Opportunity (EEO) Policy Vanguard reaffirms its commitment to equal employment opportunity for all applicants and crew members without regard to race color national origin or ancestry religion gender sex sexual orientation gender identity or expression age disability marital status veteran or military addition Vanguard prohibits discrimination based on genetic information as well as any other characteristic protected by federal state or local law.

Applicants with disabilities may be entitled to reasonable accommodation under the Americans with Disabilities Act and certain state or local laws. A reasonable accommodation is a change in the way things are normally done which will ensure an equal employment opportunity without imposing undue hardship on Vanguard. Please inform if you need assistance completing this application or to otherwise participate in the application process.

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.

Employment Type: Full-Time

Experience : years

Vacancy : 1