Senior Compliance Advisor — Shape Ethical Investing

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

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.