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 related work experience in compliance or financial services.
  • At least 2 years of experience in a financial services compliance role.
  • Strong organizational and communication skills.
  • Undergraduate degree or equivalent training/experience.
  • Preferred: Knowledge of the Investment Advisers Act and Series 65 license.
  • Preferred: Familiarity with direct-indexing or indexing products and platforms.
  • Preferred: Understanding of composite practices (GIPS) and trading lifecycle.

Responsibilities

  • Serve as an experienced advisor to business unit stakeholders, risk, legal, and compliance teams.
  • Oversee the design, implementation, and maintenance of compliance policies and procedures.
  • Participate in research and implementation of compliance processes based on regulatory requirements.
  • Collaborate with cross-functional teams to enhance compliance processes and procedures.
  • Engage in business inspections and risk assessments, communicating findings and facilitating action items.

Benefits

  • Opportunity to influence Vanguard's personalized investment services.
  • Focus on innovative compliance practices in investment advisory fields.
  • Collaboration with diverse, cross-functional teams.
  • Enhancement of compliance readiness through involvement in new standards.
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.

}

Similar Jobs

More Jobs at Vanguard Group, Inc.

More Finance & Insurance Jobs

  • Controller
    $110K — $120K *
    I & A Recruiting
    Crystal Lake, IL 60014 (Mchenry County)
  • Partner
    $200K — $500K+*
    Confidential Company
    Los Angeles, CA 90001 (Los Angeles County)
  • Senior Principal Site Reliability Engineer
    $150K — $190K *
    Questrade Financial Group
    Toronto, ON M3C 0E3
  • Tata Consultancy Services
    Engineer
    $100K — $110K *
    Tata Consultancy Services
    Cleveland, OH 44130 (Cuyahoga County)
  • Munich Re
    Investment Accountant Sr
    $106K — $155K *
    Munich Re
    Princeton, NJ 08540 (Mercer County)

Find similar Senior Compliance Advisor - Vanguard Personalized Indexing (VPI) | Wealth Management jobs: