Interim Head of Compliance, UK Personal Investor

Vanguard; City Of London; Hybrid; GBP 90,000 - 130,000; Full time

Job summary

A leading investment firm is seeking an Interim Head of Compliance to guide a team during a transition period. The role involves providing compliance leadership, overseeing regulatory adherence, and implementing necessary controls. Ideal candidates have significant compliance experience in top-tier firms and strong leadership skills. This position offers a hybrid work model, allowing flexibility while ensuring teamwork and collaboration.

Qualifications

• Significant relevant Compliance Leadership experience for a top tier firm.
• Ability to function in a high volume/fast paced environment.
• Excellent leadership and interpersonal skills.

Responsibilities

• Lead a team conducting compliance visits, exams, and inquiries.
• Oversee implementation of compliance controls and identify gaps.
• Provide strategic compliance support for business initiatives.

Skills

Compliance Leadership experience

Interpersonal skills

Team leadership

Job description

Interim Head of Compliance for Vanguard’s UK Personal Investor (UKPI) business

Purpose:

As Interim Head of Compliance for Vanguard’s UK Personal Investor (UKPI) business, you will lead a team of compliance professionals through a period of change. With our current Business Unit Compliance Manager leaving the firm, we are now inviting applications from senior interim Compliance professionals based in London or Manchester to assist in the handover and transition of the compliance programme for our Direct-to-Consumer platform. UKPI is the UK’s fastest growing investment platform and we recently celebrated the milestone of passing 750,000 retail clients. In this role you will lead the team, act as a trusted advisor to the UKPI Leadership team, guide on regulated activities, and help to steer strategic initiatives.

About Vanguard

Vanguard is an investment company unlike any other. It was founded by Jack Bogle in the US in 1975 on a simple but revolutionary idea: that an investment company should manage its funds solely in the interests of its clients. Jack helped bring investing to the masses with the index fund. Index funds do not pick individual shares or bonds to beat the market. They track the performance of the entire market. Or as Jack put it, "Don't look for the needle in the haystack. Just buy the haystack!”. We have stood for low-cost, uncomplicated investing ever since. Over the last 50 years people have come round to our way of thinking and more than 50 million investors worldwide now trust us with their money.

Job Description Summary

Core Responsibilities

• The individual in this role provides guidance and training to support crew development, sets performance standards, review individual performance, and make informed compensation decisions in alignment with Human Resources policies and procedures.
• Provide leadership and oversight for a team conducting complex visits, exams, and inquiries. Collaborate with business leaders and stakeholders to offer expert advice and ensure compliance with regulatory requirements.
• Oversee the implementation of compliance controls, ensuring that any gaps are identified and closed.
• Maintain and revise policies and procedures that support the overall compliance program and its related activities. Lead the design, implementation, execution, and ongoing maintenance of new compliance standards.
• Identify complex, problematic issues and implement corrective action plans to resolve them effectively.
• Manage and evaluate operational efficiency, setting measurable standards and leveraging internal and external resources to meet those benchmarks.
• Provide strategic compliance support for business initiatives and new product launches.
• Serve as a key resource and subject matter expert on compliance issues for UKPI.

Qualifications

• Significant relevant Compliance Leadership experience for a top tier firm, with experience working in European regulatory jurisdictions.
• Demonstrated ability to function in a high volume/fast paced environment working with multiple and diverse responsibilities.
• Excellent leadership and interpersonal skills. Ability to build relationships with team, peers, other leaders, internal and external partners.
• Team leadership skills - as a leader you will role model our values of Care, Inclusion, Integrity and Tenacity, and build a high performing, engaged team of Compliance experts
• You should be available to start work immediately following onboarding and background screening (typicall 2-3 weeks).
• The role can be based in London or Manchester, and you must be on-site in either office on Tuesdays, Wednesdays and Thursdays (Monday and Friday work from home)

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.