• Senior Compliance Advisor

    Vanguard (Malvern, PA)


    Supports the development, implementation, and maintenance of compliance processes, as well as compliance monitoring functions related to business activities and investment products. Serves as a trusted advisor to the business, provides guidance and oversight of regulated activities.

    Core Responsibilities

    + Serves as an experienced advisor to the business, and interfaces regularly with business unit stakeholders and internal risk and compliance partners

    + Manages regulatory visits, exams, inquiries and investigations within the business. Provides guidance to mitigate compliance risks and control gaps.

    + Oversees the design, implementation, execution, and maintenance of compliance policies and procedures. Supports the development of new compliance standards.

    + Identifies and implements corrective action plans for resolution of problematic issues.

    + Manages operational efficiency. Sets measurable standards leveraging internal and external resources accordingly.

    + Serves as an expert on compliance related issues.

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

    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

    Qualifications

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

    + Undergraduate degree or equivalent combination of training and experience.

     

    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.