Senior Compliance Advisor

Robert Walters; City Of London; Hybrid; GBP 60,000 - 100,000; Full time

Job summary

An established industry player is seeking a proactive Senior Compliance Advisor to join their dynamic team in London. This role offers the opportunity to work closely with the Investment Management Group, providing essential guidance on compliance matters related to trading and portfolio management. The ideal candidate will have extensive experience in asset management compliance, particularly with UCITS products and MiFID regulations. With a commitment to diversity and inclusion, this company fosters a supportive environment where your contributions will have a meaningful impact on client success. If you are ready to elevate your career in a hybrid work setting, this is the role for you.

Qualifications

• 7+ years of experience in asset management compliance.
• Strong knowledge of UCITS and MiFID regulations.
• Ability to manage multiple responsibilities in a fast-paced environment.

Responsibilities

• Provide guidance on investment-related regulations impacting trading activities.
• Advise on new business initiatives from a compliance perspective.
• Interpret regulations on global and local policies regarding investment decisions.

Skills

UCITS products

EU / UK MiFID investment regulations

Fixed income instruments

Relationship management

Judgment and decision-making

Job description

Senior Compliance Advisor (15228) City of London, England

Senior Compliance Advisor
Competitive
London
Permanent
Hybrid – 3 days required in the office


On behalf of Vanguard Asset Management, we are seeking a proactive, commercially minded Senior Compliance Advisor with a focus on fixed income expertise. This is an exciting opportunity to join a rapidly growing business in Europe and contribute to the delivery of superior outcomes for customers and clients. The successful candidate will be part of a team of expert compliance professionals supporting the European Investment Management Group (IMG). This role offers the chance to work in a hybrid model, with Tuesday to Thursday office-based work at their primary location in London.

• Join a rapidly growing business in Europe
• Work closely with Vanguard’s Investment Management Group (IMG)
• Opportunity to provide proactive and pragmatic advice on governance and regulatory compliance matters

What you'll do:
As a Senior Compliance Advisor, you will play a pivotal role in providing guidance and advice on investment-related regulations that impact trading and portfolio management activities. You will be instrumental in advising on new business initiatives from a compliance perspective, as well as participating in compliance or business-driven projects. Your role will also involve interpreting regulations on Vanguard's global and local policies relating to investment decisions. You will liaise with other IMG Compliance Advisory teams based globally, building strong relationships within Vanguard. Furthermore, you will be responsible for anticipating, assessing the impact of, and responding to regulatory developments.

• Provide guidance and advice on investment-related regulations impacting trading and portfolio management activities
• Advise on new business initiatives from a Compliance perspective
• Participate in Compliance or business-driven projects
• Interpret regulation on Vanguard global and local policies in relation to investment decisions
• Liaise with other IMG Compliance Advisory teams globally
• Build and maintain stakeholder relationships within Vanguard
• Provide advice on the anticipation, impact assessment and response to regulatory developments
• Design and deliver effective regulatory training initiatives to the business

What you bring:
The ideal candidate for the Senior Compliance Advisor role will bring at least seven years of relevant experience within an asset management compliance function. You should have strong knowledge of UCITS products and EU / UK MiFID investment regulations. Your ability to develop a broad understanding of Vanguard’s business and the investment industry will be crucial for this role. Detailed knowledge of trading fixed income instruments is essential. You should possess positive relationship management skills, including the ability to interact with individuals at various levels both internally and outside the company. A proven ability to function in a fast-paced environment while managing multiple responsibilities is required. Excellent judgment and decision-making skills are also key for this role.

• Related work experience within a relevant industry compliance function
• Strong knowledge of UCITS products and EU / UK MiFID investment regulations
• Ability to develop a broad understanding of Vanguard’s business and the investment industry
• Detailed knowledge of trading fixed income instruments
• Positive relationship management skills
• Proven ability to function in a fast-paced environment while managing multiple responsibilities
• Excellent judgment and decision-making skills

What sets this company apart:
Vanguard Asset Management is dedicated to taking a stand for all investors, treating them fairly and giving them the best chance of investment success. Their continued dedication to diversity and inclusion is firmly rooted in their culture. Every decision they make to best serve their clients, crew, and communities is guided by one simple statement: “Do the right thing”. They believe that building diverse, inclusive, and highly effective teams of individuals who are as unique as the clients they serve is a critical aspect of doing the right thing.


What's next:
Ready to take your career to new heights with Vanguard Asset Management? Apply now!

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