Join a dynamic compliance team that’s not just about rules—but about shaping the future of ethical investing. As a Senior Compliance Advisor, you’ll help ensure our advisory services and business activities align with the highest standards of integrity, transparency, and client protection. This role is ideal for someone who thrives in a fast-paced environment, working closely with business partners, enjoys translating regulations into actionable guidance, and wants to make a real impact on how we serve our clients.
What You’ll Do
- Design & Enhance Compliance Programs: Develop and refine compliance processes for investment services and support regulatory advice reporting.
- Trusted Advisor to the Business: Provide proactive guidance to senior leaders, advisory teams, and marketing on regulated activities and emerging regulatory trends.
- Monitor & Mitigate Risk: Collaborate with Risk, Legal, and Audit teams to identify and resolve compliance gaps.
- Regulatory Engagement: Support regulatory exams and inquiries, prepare documentation, and assist Compliance leadership and other partners in preparing for regulator discussions.
- Training & Culture Building: Lead training initiatives to embed a culture of compliance across the organization.
Core Responsibilities
- Serves as an experienced advisor to the business, and interfaces regularly with business unit stakeholders and internal risk and compliance partners
- 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.
- 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.
- Participate in inspections and risk assessments, communicate findings, and facilitate the implementation of actionable items resulting from the reviews,
- Serves as an expert on compliance related issues.
- Participates in special projects and performs other duties as assigned.
Qualifications
- Minimum of five years’ related work experience, with at least two years within a financial services compliance function.
- Strong interest in, and ability to practically apply, relevant federal securities laws and associated rules.
- Well-organized with attention to detail and strong communication skills.
- Undergraduate degree or equivalent combination of training and experience.
- Series 65 and knowledge of the Investment Advisers Act 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.
Skills Required
- Minimum of five years' related work experience
- At least two years within a financial services compliance function
- Practical knowledge of federal securities laws and associated rules
- Undergraduate degree or equivalent combination of training and experience
- Well-organized with attention to detail and strong communication skills
- Series 65 and knowledge of the Investment Advisers Act
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.
