Senior Compliance Advisor, Fund and Advisor Compliance

The Vanguard Group; Pennsylvania; Hybrid; USD 70,000 - 110,000; Full time

Job summary

An established industry player is seeking a compliance professional to ensure adherence to regulatory requirements and internal policies. This role involves serving as a trusted advisor, managing information flows, and providing compliance guidance to various teams. The ideal candidate will have a strong background in compliance management, regulatory knowledge, and excellent organizational and communication skills. With a hybrid working model, this innovative firm fosters a collaborative culture that enriches employee experiences while driving long-term client outcomes. If you are passionate about compliance and looking to make a significant impact, this opportunity is for you.

Qualifications

• 5+ years in compliance with 2+ years in financial services.
• Experience with capital markets and compliance regulations.

Responsibilities

• Manage relationships with internal stakeholders and provide compliance advice.
• Lead ethical wall controls and monitor compliance practices.
• Participate in special projects and compliance program monitoring.

Skills

Compliance Management

Regulatory Knowledge

Communication Skills

Organizational Skills

Judgment and Initiative

Education

Undergraduate Degree

Graduate Degree

Job description

You will be a member of a team of dedicated compliance professionals who play a critical role in ensuring Vanguard adheres to regulatory requirements and internal policies, focusing on information barriers, conflicts of interest, and investment management compliance advisory support. You will serve as a trusted advisor to the investment management business and provide guidance, oversight, and relationship management. This position involves monitoring and managing information flows, conducting information barrier monitoring, and providing day-to-day compliance advice to the trade desks.

The ideal candidate should have experience in managing control room operations, such as overseeing wall-crosses, managing data room access, handling material non-public information, and maintaining information barriers. Additionally, this role requires flexibility to assist the broader compliance department with projects, inspections, audits, and exams. You will need to be familiar with capital markets structure, regulations, mechanics, and emerging issues impacting registered 40 Act funds and ETFs. The successful candidate will demonstrate judgment, technical expertise, initiative, and creativity; and will possess strong workflow management, organizational and communication skills, with the ability to handle a variety of projects simultaneously with minimal supervision, prioritize to meet tight deadlines in the context of servicing dynamic business units, and serve as a key member of a team of compliance professionals.

Responsibilities

• Act as the point of contact and manage key relationships with IMG Portfolio Managers, Traders, Risk, Compliance, and other internal stakeholders.
• Lead, develop, and manage ethical wall controls and monitors, including market soundings, MNPI, and confidential information control, as well as related policy and procedure development.
• Provide advice, guidance, and training to IMG crew on information barriers, including responding to live trading questions in a timely, risk-based fashion.
• Act as the compliance SME for relevant business change initiatives.
• Serve as an escalation point for compliance program monitoring, testing, risk assessments, and trade surveillance.
• Monitor electronic communications to enforce information barriers.
• Participate in new rule implementations pertaining to your coverage area.
• Support the wider Global Fund, Advisor, and Distribution team as needed.
• Participate in special projects and perform other duties as assigned.

Qualifications

• Minimum of five years related work experience, with at least two years within a financial services compliance function. Regulatory, compliance, investment, or auditing experience preferred.
• Undergraduate degree or equivalent combination of training and experience. Graduate degree preferred.
• Familiarity with capital markets structure, regulations, mechanics, and emerging issues impacting registered 40 Act funds and ETFs.

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 products 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.