Core Compliance Analyst, Specialist | London, UK

Vanguard Group; London; Hybrid; GBP 50,000 - 70,000; Full time

Job summary

A leading company in investment management is seeking a Compliance Specialist in London. The role involves guiding staff on compliance with the Code of Ethics, managing conduct compliance activities, and fostering a compliance culture. Candidates should have significant experience in the financial services sector, strong relationship management skills, and the ability to work independently in a hybrid working environment.

Qualifications

• At least 5 years of relevant experience in investment management or financial services.
• Proven track record in managing conduct compliance activities.

Responsibilities

• Facilitate and implement compliance processes aligned with regulatory requirements.
• Manage team mailbox and correspondence, responding to stakeholder queries.
• Lead oversight of compliance with the Code of Ethical Conduct.

Skills

Relationship Management

Analytical Skills

Communication

Attention to Detail

Tools

FCA Connect

RegData

Job description

The role holder will be responsible for providing input and guidance to staff regarding personal conduct compliance under the Code of Ethics, supporting the European Compliance team. This role is suited for an individual with experience in Conduct compliance (including PA dealing, attestation, G&E, Outside Business Interests, and regulatory returns) and excellent interpretation, judgment, and organization skills. Additionally, the individual must have strong relationship management skills to handle multiple stakeholders globally. The role requires flexibility to support or lead other compliance projects and initiatives, working closely with the broader Compliance team in Europe and globally. The role is based in London and involves proactive collaboration across regions.

The Vanguard Europe Compliance team offers support, guidance, and oversight on critical compliance topics that contribute to the firm's success and growth. We aim to empower Vanguard employees to adhere to our values and the Code of Conduct, and to comply with regulatory requirements and internal policies. Our ideal candidate will have at least 5 years of relevant experience within investment management or financial services, with a proven track record in managing conduct compliance activities, providing subject matter expertise, stakeholder management, and fostering a compliance culture.

Core Responsibilities

1. Facilitate and implement compliance processes aligned with regulatory requirements. Oversee compliance programs, procedures, and internal reviews related to conduct.
2. Manage team mailbox and correspondence, responding to stakeholder queries.
3. Lead routine oversight of the firm's and staff's compliance with the Code of Ethical Conduct (including PA dealing, attestation, G&E, Outside Business Interests).
4. Provide guidance, respond to queries, and proactively suggest practices to minimize breaches or non-compliance.
5. Develop action plans for breach resolution when necessary.
6. Maintain documented written procedures of compliance processes.
7. Build and sustain strong relationships with key stakeholders.
8. Generate relevant MI reports.
9. Oversee regulatory filings via FCA Connect.
10. Support onboarding of technology solutions, if required.
11. Assist with SMCR-related compliance activities, if needed.
12. Coordinate regulatory engagement efforts, if applicable.

What it takes

• Experience within the UK regulatory environment at a financial services firm, preferably an Asset Management company.
• Ability to interpret and explain regulatory and internal policies.
• Interest in and understanding of FCA rules.
• Attention to detail and commitment to high-quality, timely work.
• Ability to work independently and show initiative.
• Confidence and credibility in stakeholder interactions at all levels.
• Capacity to manage multiple tasks with competing deadlines and prioritize effectively.
• Excellent written and verbal communication skills.
• Analytical skills combined with creative thinking.
• Strong interpersonal and influencing skills.
• Working knowledge of FCA Connect and RegData.

How We Work

Vanguard has adopted a hybrid working model that balances flexibility with opportunities for in-person learning, collaboration, and connection. We believe our mission-driven and collaborative culture is key to supporting long-term client outcomes and enriching the employee experience.