Strategic Compliance Advisor, Investment Advisory

The Vanguard Group

Malvern (Chester County)

Hybrid

USD 120,000 - 160,000

Full time

14 days+

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Job summary

Vanguard is seeking a Senior Compliance Advisor to support Vanguard Personalized Indexing Management (VPIM) and help shape the future of our personalized investment offering. The role entails partnering with business units, risk, and legal teams to ensure regulatory integrity and operational excellence across the lifecycle of VPI solutions.

Vanguard emphasizes a hybrid working model, collaboration, and a mission-driven culture.

Qualifications

Minimum 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.

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.
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.