Senior Compliance Advisor - Advice & Wealth Management

Vanguard; Charlotte (NC); Hybrid; USD 120,000 - 180,000; Full time

Job summary

Vanguard is seeking a Senior Compliance Advisor to join our dynamic compliance team and help ensure advisory services and business activities meet the highest standards of integrity and client protection.

You will design and enhance compliance programs, act as a trusted advisor to senior leaders, monitor risk, support regulatory exams, and lead training to foster a culture of compliance across the organization.

Qualifications

• Minimum of five years’ related work experience, with at least two years within a financial services compliance function.
• Strong interest in, and ability to practically apply, federal securities laws and associated rules.
• Well-organized with attention to detail and strong communication skills.
• Undergraduate degree or equivalent combination of training and experience.
• Series 65 and knowledge of the Investment Advisers Act preferred.

Responsibilities

• Design and enhance compliance programs for investment services.
• Provide proactive regulatory guidance to senior leaders, advisory teams, and marketing on regulated activities.
• Monitor and mitigate risk in collaboration with Risk, Legal, and Audit teams.
• Support regulatory exams and inquiries, prepare documentation, and assist leadership in regulator discussions.
• Lead training initiatives to embed a culture of compliance across the organization.

Skills

Regulatory knowledge

Communication skills

Attention to detail

Education

Undergraduate degree or equivalent

Series 65 preferred

Job description

Join a dynamic compliance team that’s not just about rules—but about shaping the future of ethical investing. As a Senior Compliance Advisor, you’ll help ensure our advisory services and business activities align with the highest standards of integrity, transparency, and client protection. This role is ideal for someone who thrives in a fast-paced environment, working closely with business partners, enjoys translating regulations into actionable guidance, and wants to make a real impact on how we serve our clients.

Join a dynamic compliance team that’s not just about rules—but about shaping the future of ethical investing. As a Senior Compliance Advisor, you’ll help ensure our advisory services and business activities align with the highest standards of integrity, transparency, and client protection. This role is ideal for someone who thrives in a fast-paced environment, working closely with business partners, enjoys translating regulations into actionable guidance, and wants to make a real impact on how we serve our clients.

What You’ll Do

• Design & Enhance Compliance Programs: Develop and refine compliance processes for investment services and support regulatory advice reporting.
• Trusted Advisor to the Business: Provide proactive guidance to senior leaders, advisory teams, and marketing on regulated activities and emerging regulatory trends.
• Monitor & Mitigate Risk: Collaborate with Risk, Legal, and Audit teams to identify and resolve compliance gaps.
• Regulatory Engagement: Support regulatory exams and inquiries, prepare documentation, and assist Compliance leadership and other partners in preparing for regulator discussions.
• Training & Culture Building: Lead training initiatives to embed a culture of compliance across the organization.

Core Responsibilities

• Serves as an experienced advisor to the business, and interfaces regularly with business unit stakeholders and internal risk and compliance partners
• Participate in research, interpretation and implementation of compliance processes associated with the firm’s regulatory requirements and industry best practices, including engaging other internal stakeholders in their support of same.
• Oversees the design, implementation, execution, and maintenance of compliance policies and procedures. Supports the development of new compliance standards.
• Identifies and implements corrective action plans for resolution of problematic issues.
• Participate in inspections and risk assessments, communicate findings, and facilitate the implementation of actionable items resulting from the reviews,
• Serves as an expert on compliance related issues.
• Participates in special projects and performs other duties as assigned.

Qualifications

• Minimum of five years’ related work experience, with at least two years within a financial services compliance function.
• Strong interest in, and ability to practically apply, relevant federal securities laws and associated rules.
• Well-organized with attention to detail and strong communication skills.
• Undergraduate degree or equivalent combination of training and experience.
• Series 65 and knowledge of the Investment Advisers Act preferred.

Special Factors

Sponsorship

Vanguard is not offering visa sponsorship for this position.

About Vanguard

At Vanguard, we don't just have a mission—we're on a mission.

To work for the long-term financial wellbeing of our clients. To lead through product and services that transform our clients' lives. To learn and develop our skills as individuals and as a team. From Malvern to Melbourne, our mission drives us forward and inspires us to be our best.

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.