Senior Compliance Advisor - Vanguard Personalized Indexing (VPI) | Wealth Management

Vanguard Group, Inc.

$110K — $130K *
Finance & Insurance
5 - 7 years of experience
Job Overview by Ladders

Qualifications

  • 5+ years of compliance experience, 2+ within financial services
  • Strong organizational skills and attention to detail
  • Effective communicator with solid interpersonal skills
  • Undergraduate degree or equivalent experience
  • Preferred: knowledge of the Investment Advisers Act and Series 65 license
  • Preferred: familiarity with direct-indexing and indexing products
  • Preferred: understanding of GIPS and trading lifecycle

Responsibilities

  • Act as a compliance advisor to business units and legal partners
  • Design and maintain compliance policies and procedures
  • Research and implement regulatory compliance processes
  • Collaborate with teams to enhance compliance processes
  • Conduct inspections and risk assessments, providing actionable insights

Benefits

  • Opportunity to influence personalized investment experiences
  • Work in a forward-thinking compliance team
  • Engagement with cross-functional teams for collaborative growth
  • Commitment to fiduciary excellence in investment advisory space
Full Job Description
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 Factors

Sponsorship
Vanguard is not offering visa sponsorship for this position.

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