Join a dynamic and highly collaborative compliance team that plays a critical role in safeguarding the integrity of Vanguard’s pooled investment vehicles, including those focused on alternative assets. In this influential role, you will lead the development, implementation, and ongoing refinement of compliance programs that ensure our business operates with the highest ethical and regulatory standards.
As a trusted advisor to senior leaders and cross-functional partners, you will conduct complex compliance inspections, guide strategic decision-making, and provide oversight of regulated activities across the organization. Your deep industry knowledge, investigative expertise, and proactive mindset will help shape robust controls, strengthen operational resilience, and drive a culture of compliance excellence.
You will also represent Vanguard in regulatory engagements, navigate emerging rules and industry developments, and provide forward-looking insights that support new product launches and innovative investment strategies. This is a high-impact role for a seasoned compliance professional who thrives in a fast-paced environment, enjoys solving complex challenges, and is committed to upholding trust, transparency, and accountability.
Core Responsibilities
Responsible for maintaining and revising policies and procedures for the general operation of the compliance program for pooled investment vehicles focused on alternative assets, including closed-end interval funds and private investment funds. Oversees the design, implementation, execution, and maintenance of new compliance standards, including those related to private market investments.
Conducts routine monitoring and inspections, including investigations of alleged violations of Vanguard's ethical standards and noncompliance with applicable laws, regulations and corporate policy issues. Partners with business leaders and stakeholders to provide advice and ensure compliance with regulatory requirements.
Manages regulatory visits and complex investigations. Oversees the preparation of written inspection and assessment reports and provides recommendations for improvement. Oversees the implementation of compliance controls to ensure gaps are closed.
Identifies and implements corrective action plans for resolution of complex, problematic issues. Recommends practices to reduce potential for violations and noncompliance.
Manages and evaluates operational efficiency. Sets measurable goals leveraging internal and external resources accordingly. Reports on the results of compliance and ethics initiatives of the business.
Provides strategic compliance support for business initiatives and new product launches related to pooled investment vehicles focused on alternative assets, including closed-end interval funds and private investment funds.
Follows approved investigation procedures and reports on corrective actions.
Maintains an expert knowledge and awareness of the investment industry. Stays abreast of current market, regulatory and industry relevant news. Serves as an expert and key resource related to compliance issues. Utilizes expertise to provide guidance and leadership on complex compliance related issues. Acts as a liaison to regulatory agencies.
Participates in special projects and performs other duties as assigned.
Qualifications
Minimum of eight years private markets compliance experience.
Undergraduate degree or equivalent combination of training and experience.
Knowledge of private asset valuation or due diligence is a plus.
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.
Skills Required
- Minimum of eight years private markets compliance experience
- Undergraduate degree or equivalent combination of training and experience
- Knowledge of private asset valuation or due diligence
Vanguard Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about Vanguard and has not been reviewed or approved by Vanguard.
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Retirement Support — Retirement support appears unusually strong through a 401(k) design that includes a match plus an additional employer contribution, which can materially lift long-term total rewards. HSA seeding and an enhanced employer match further strengthen the savings-and-benefits value of the package.
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Wellbeing & Lifestyle Benefits — Wellbeing and lifestyle support is reinforced by a sizable annual FlexFund stipend that can be applied across many day-to-day categories such as fitness, childcare, and other personal expenses. On-site or virtual clinics and fitness options add practical health and wellness convenience.
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Affordable Benefits — Healthcare and related benefits are positioned as comparatively affordable via heavily subsidized medical plans and broad coverage options. This affordability can offset moderate base pay for employees who place higher value on out-of-pocket cost reductions.
Vanguard Insights
What We Do
We are a community of 30 million who think – and feel – differently about investing. Together, we’re changing the way the world invests. Since our founding in 1975, helping our investors achieve their goals is our sole reason for existence. With no other parties to answer to and therefore no conflicting loyalties, we make every decision—like keeping investing costs as low as possible—with only your needs in mind. Vanguard is one of the world's largest investment companies, offering a large selection of high-quality low-cost mutual funds, ETFs, advice, and related services. Individual and institutional investors, financial professionals, and plan sponsors can benefit from the size, stability, and experience Vanguard offers. As of April 30, 2019, we managed more than $5.6 trillion in global assets. In addition, we have 189 funds in the United States and 225 funds in global markets. For Commenting Guidelines & Important information, visit here: http://vanguard.com/linkedin Vanguard Marketing Corporation, Distributor.
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