Senior Compliance Advisor – Vanguard Personalized Indexing (VPI) | Advice & Wealth Management

Vanguard; Scottsdale (AZ); Hybrid; USD 110,000 - 170,000; Full time

Job summary

Vanguard is seeking a Senior Compliance Advisor to support Vanguard Personalized Indexing Management (VPIM). You will act as a strategic compliance partner, ensuring regulatory integrity and operational excellence across VPI’s lifecycle, interfacing with business units, risk, legal, and compliance colleagues.

Ideal candidates have at least five years in investment advisory compliance, familiarity with Investment Advisers Act, Series 65, and experience with direct-indexing products.

Qualifications

• Five+ years of related work experience with at least two years in financial services compliance.
• Strong organizational and communication skills.
• Undergraduate degree or equivalent combination of training and experience.

Responsibilities

• Serve as an experienced advisor to the business, interfacing regularly with business unit stakeholders, risk and legal partners, and other compliance colleagues.
• Oversee the design, implementation, and maintenance of compliance policies and procedures.
• Participate in research, interpretation and implementation of compliance processes related to regulatory requirements and industry best practices.
• Collaborate with cross-functional teams to vet learnings and ensure compliance readiness for future phases.
• Participate in business inspections and risk assessments, communicating findings and driving actionable improvements.

Skills

Communication

Attention to detail

Stakeholder management

Regulatory compliance

Education

Bachelor’s degree or equivalent

Job description

Join a forward-thinking compliance team at the forefront of innovation in investment advisory services. As a Senior Compliance Advisor supporting Vanguard Personalized Indexing Management (VPIM), you’ll play a pivotal role in shaping the future of our personalized investment offering.

You’ll serve as a strategic compliance partner, ensuring regulatory integrity and operational excellence across VPI’s lifecycle.

Responsibilities

• Serve as an experienced advisor to the business, interfacing regularly with business unit stakeholders, risk and legal partners, and other compliance colleagues.
• Oversee the design, implementation execution, and maintenance of compliance policies and procedures. Support new compliance standards.
• 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.
• Collaborate with cross-functional teams to vet learnings, refine/enhance processes and procedures, and ensure compliance readiness for future phases.
• Participate in business inspections and risk assessments, communicate findings, and facilitate the implementation of actionable items resulting from the reviews.

This is a high-impact opportunity to influence how Vanguard delivers personalized investment experiences while upholding its commitment to fiduciary excellence. Ideal candidates will bring deep knowledge of investment advisory compliance, a proactive mindset, and a passion for innovation in the advisory space.

Qualifications

• Minimum of five years’ related work experience, with at least two years within a financial services compliance function.
• Well-organized with attention to detail and strong communication skills.
• Undergraduate degree or equivalent combination of training and experience.

Preferred Qualifications

• Knowledge of the Investment Advisers Act and Series 65 license
• Familiarity with direct-indexing or indexing products and platforms
• Composite practices (GIPS) and trading lifecycle

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.