This Compliance Senior Advisor will be responsible for leveraging their deep expertise in Artificial Intelligence ("AI") governance, risk, and compliance to lead our compliance programs and initiatives across Vanguard. This role will design, implement, and monitor our AI compliance practices and champion our compliance alignment against global AI regulations and laws. Strong engagement across our IT, Risk, Legal, and Compliance stakeholders will be necessary to drive compliance reviews within our AI governance processes and guide responsible adoption of AI technologies. The ideal candidate is a proactive advisor who can integrate regulatory AI compliance considerations into the entire AI system lifecycle - ensuring regulatory alignment and ethical standards in AI use cases.
This role will also support Vanguard’s Compliance Programs within our broader Technology, Cyber Security, Information Security, and Artificial Intelligence (TCIA) function. The individual will identify, evaluate, and mitigate compliance risks, develop risk management strategies, and ensure Vanguard’s TCIA posture is robust against emerging threats. As a key advisor to senior management, they will provide insights on TCIA trends, best practices, and regulatory changes, fostering a culture of compliance throughout the organization.
Core Responsibilities
AI Governance and Compliance
Collaborate with Business, Technology, and Legal stakeholders to evaluate AI/ML use cases for compliance with global regulatory standards.
Develop and maintain enterprise compliance documentation for AI systems, including trusted system assessments and business use case reviews.
Advise on global regulatory developments (e.g., EU AI Act, U.S. Executive Orders, state laws) and prepare the organization for compliance.
Promote an internal “responsible AI” culture, balancing innovation with accountability.
Maintain compliance documentation such as reviews of new AI laws and regulations to ensure readiness.
TCIA Compliance Program Support
Track, manage, and maintain an inventory of regulatory obligations, and advise business partners and corporate functions on required policies and processes.
Provide thought leadership on implementing regulations; deliver compliance education and training as needed.
Maintain and revise policies and procedures for the compliance program and its related activities. Oversee the design, implementation, execution, and maintenance of new compliance standards.
Execute advisory and monitoring activities to assess regulatory posture, document, track, and drive the resolution of compliance issues.
Identify and discuss top compliance risks with business management and provide regular reporting on regulatory posture.
Proactively drive business ownership of Compliance Issues, including root cause analysis and resolution. Identify and implement corrective action plans for complex compliance issues.
Foster a culture of compliance with business line ownership of Compliance Risk.
Act as a trusted advisor to senior management on emerging risks and regulatory expectations.
Interface with external regulators and clients, as needed.
Qualifications
Minimum of eight years related work experience compliance, risk, and/or governance program management, with significant exposure to Technology, Cyber Security, Information Security, and Artificial Intelligence domains.
Knowledge of Technology, Cyber Security, Information Security, and Artificial Intelligence regulations, standards, and frameworks.
Deep knowledge of AI regulatory developments, including the EU AI Act, U.S. AI policy, etc.
Undergraduate degree or equivalent combination of training and experience.
Experience in financial services or other highly regulated industries.
Ability to thrive in a fast-paced, high-stakes environment while managing competing priorities.
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.
Top Skills
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.
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