Senior Compliance Advisor - Trusted Regulatory Partner

Vanguard; Malvern (Chester County); Hybrid; USD 120,000 - 180,000; Full time

Job summary

Vanguard is seeking a Senior Compliance Advisor to help align advisory services and business activities with the highest standards of integrity and client protection. You will translate regulations into actionable guidance and partner with business units to embed a culture of compliance.

The role emphasizes collaboration with Risk, Legal, and Audit, and includes leading regulatory examinations and training initiatives across the organization. Hybrid work is supported in Malvern, PA and beyond.

Qualifications

• Minimum five years’ related work experience, with at least two years within a financial services compliance function.
• Strong knowledge of relevant federal securities laws and 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

• Serves as an experienced advisor to the business, and interfaces with business unit stakeholders and internal risk and compliance partners.
• Participates in research, interpretation and implementation of compliance processes and regulatory requirements.
• Oversees design, implementation, execution, and maintenance of compliance policies and procedures; supports new standards.
• Identifies and implements corrective action plans for resolution of issues.
• Participates in inspections and risk assessments, communicates findings, and facilitates action items.
• Serves as an expert on compliance-related issues.

Skills

Regulatory compliance

Financial services

Communication

Education

Bachelor's degree

Job description

Vanguard is seeking a Senior Compliance Advisor to help align advisory services and business activities with the highest standards of integrity and client protection. You will translate regulations into actionable guidance and partner with business units to embed a culture of compliance.

The role emphasizes collaboration with Risk, Legal, and Audit, and includes leading regulatory examinations and training initiatives across the organization. Hybrid work is supported in Malvern, PA and beyond.