Investment Compliance Specialist

Vanguard; London; Hybrid; GBP 60,000 - 90,000; Full time

Job summary

A leading company in investment management seeks an Investment Compliance Specialist to join their growing European team. The successful candidate will provide strategic advice on governance and regulatory compliance, particularly in fixed income, while collaborating with global teams. This hybrid role requires a strong understanding of investment regulations and a commitment to continuous learning.

Qualifications

• At least 7 years of relevant experience, preferably with Fixed Income coverage.
• Understanding of Vanguard’s business and asset types, including ETFs.
• Experience with fixed income trading instruments.

Responsibilities

• Guide the Investment Management business on regulations impacting trading and portfolio management.
• Support new business initiatives from a compliance perspective.
• Prepare reports and communicate compliance issues to senior management and boards.

Skills

Strong knowledge of UCITS and EU/UK MiFID regulations

Excellent communication and judgment skills

Curious, commercial, relationship-oriented mindset

Education

Degree or equivalent experience

Job description

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The successful candidate will support engagement with IMG, providing proactive advice on governance, regulatory compliance, and conduct matters relevant to Vanguard’s strategic and operational priorities, aligned with Vanguard’s risk appetite.

Primary Location: 25 Walbrook, London

Working Pattern: Hybrid (Tuesday - Thursday in the office)

Vanguard aims to serve all investors fairly and help them succeed. We seek an experienced compliance professional, with a focus on fixed income, to partner with Vanguard’s Investment Management Group (IMG).

IMG manages portfolios across asset types including Equity, Fixed Income, and FX, covering active and index funds globally.

Role Summary

We are growing our European team and seek a compliance specialist to advise on governance and regulatory issues related to Vanguard’s investment activities, reporting to the Head of Investments and Product Compliance.

The role involves collaborating with global teams in the US and Australia, supporting compliance with investment regulations affecting fixed income trading, portfolio management, and broader UCITS and ETF matters.

The ideal candidate will have at least seven years of experience in investment management compliance, with a proven ability to provide strategic, value-added advice and build stakeholder trust.

Core Responsibilities

• Guide the Investment Management business on regulations impacting trading and portfolio management, especially in Fixed Income.
• Support new business initiatives from a compliance perspective.
• Participate in compliance projects and respond to regulatory changes.
• Interpret and advise on regulations and Vanguard policies.
• Coordinate with global compliance teams.
• Maintain relationships with key stakeholders across legal, risk, and operational teams.
• Assess and respond to regulatory developments.
• Deliver regulatory training.
• Stay informed on industry news and regulations.
• Prepare reports and communicate compliance issues to senior management and boards.

Qualifications

• At least 7 years of relevant experience, preferably with Fixed Income coverage.
• Curious, commercial, relationship-oriented mindset.
• Strong knowledge of UCITS and EU/UK MiFID regulations.
• Degree or equivalent experience.
• Team player with independent working ability.
• Understanding of Vanguard’s business and asset types, including ETFs.
• Experience with fixed income trading instruments.
• Excellent communication and judgment skills.
• Commitment to continuous learning and team objectives.

Additional Information

Vanguard does not sponsor this position. We offer a hybrid working model, with flexibility and in-person collaboration. Details will be discussed during the interview.

We value diversity and inclusion, guided by our core purpose to serve investors fairly and help them succeed. We aim to build inclusive teams that reflect our clients and communities.