• Senior Compliance Advisor Investment Management

    Vanguard (Malvern, PA)


    Core Responsibilities

    + Designing, enhancing, and overseeing compliance processes and programs that support Vanguard’s investment products and trading activities.

    + Act as the point of contact and manage key relationships with IMG Portfolio Managers, Traders, Risk, Compliance, and other internal stakeholders.

    + Respond to live trading questions in a timely, risk-based fashion.

    + Participate in new rule implementations pertaining to your coverage area.

    + Provide advice, guidance, and topical training to IMG crew on interna policy and procedures and regulatory requirements.

    + Act as the compliance subject matter expert for relevant business change initiatives.

    + Serve as an escalation point for compliance program monitoring, testing, risk assessments, and trade surveillance.

    + Support the wider Global Fund, Advisor, and Distribution team as needed.

    + Participates in special projects and perform other duties as assigned.

    Qualifications

    + Minimum of five years related work experience, with at least two years within a financial services compliance function. Regulatory, compliance, investment, or auditing experience preferred.

    + Undergraduate degree or equivalent combination of training and experience. Graduate degree preferred.

     

    Special Factors

     

    Sponsorship

     

    Vanguard is not offering visa sponsorship for this position.

     

    About Vanguard

     

    At Vanguard, we don't just have a mission—we're on a mission.

     

    To work for the long-term financial wellbeing of our clients. To lead through product and services that transform our clients' lives. To learn and develop our skills as individuals and as a team. From Malvern to Melbourne, our mission drives us forward and inspires us to be our best.

     

    How We Work

     

    Vanguard has implemented a hybrid working model for the majority of our crew members, designed to capture the benefits of enhanced flexibility while enabling in-person learning, collaboration, and connection. We believe our mission-driven and highly collaborative culture is a critical enabler to support long-term client outcomes and enrich the employee experience.