Senior Compliance Advisor – Investment Advisory

Vanguard; Malvern (Chester County); Hybrid; USD 120,000 - 160,000; Full time

Job summary

Vanguard Senior Compliance Advisor supporting Vanguard Personalized Indexing Management (VPIM) is a strategic partner ensuring regulatory integrity and operational excellence across VPIM's lifecycle, from development through deployment.

The role works with business units, risk and legal partners to design and implement policies, address licensing needs (Series 65), and keep Vanguard at fiduciary excellence.

Qualifications

• Five+ years of related experience, with at least two years in financial services compliance.
• Well-organized, detail-oriented with strong communication skills.
• Undergraduate degree or equivalent combination of training and experience.

Responsibilities

• Advise business units and risk/legal partners on compliance matters.
• Design, implement, and maintain compliance policies and procedures.
• Research and interpret regulatory requirements and industry best practices.
• Collaborate with cross-functional teams to ensure readiness for future phases.
• Participate in risk assessments and communicate findings with actionable mitigation.

Skills

Strong communication

Well-organized

Attention to detail

Proactive mindset

Education

Undergraduate degree

Job description

Vanguard Senior Compliance Advisor supporting Vanguard Personalized Indexing Management (VPIM) is a strategic partner ensuring regulatory integrity and operational excellence across VPIM's lifecycle, from development through deployment.

The role works with business units, risk and legal partners to design and implement policies, address licensing needs (Series 65), and keep Vanguard at fiduciary excellence.