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

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—. Your responsibilities will include:

• Serving as an experienced advisor to the business, interfacing regularly with business unit stakeholders, risk and legal partners, and other compliance colleagues.
• Overseeing 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.
• Collaborating 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.

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.
• Well-organized with attention to detail and strong communication skills.
• Undergraduate degree or equivalent combination of training and experience.

Special Factors

Sponsorship

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.