Join a forward-thinking compliance team at the forefront of innovation in investment advisory services. As a Compliance Advisor supporting Vanguard Personalized Indexing Management (VPIM), you'll play a pivotal role in shaping the future of our personalized investing offers.
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
Special FactorsSponsorshipVanguard is not offering visa sponsorship for this position.
