Strategic Compliance Advisor – Investment Advisory

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

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.