Senior Compliance Advisor – Vanguard Personalized Indexing (VPI) | Advice & Wealth Management
Join a forward-thinking compliance team at the forefront of innovation in investment advisory services. As a Senior Compliance Advisor supporting Vanguard Personalized Indexing Management (VPIM), you’ll play a pivotal role in shaping the future of our personalized investment offering.
You’ll serve as a strategic compliance partner, ensuring regulatory integrity and operational excellence across VPI’s lifecycle.
Responsibilities
Serve as an experienced advisor to the business, interfacing regularly with business unit stakeholders, risk and legal partners, and other compliance colleagues.
Oversee 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.
Collaborate 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.
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.
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
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, with at least two years within a financial services compliance function
- Undergraduate degree or equivalent combination of training and experience
- Well-organized with attention to detail and strong communication skills
- Knowledge of the Investment Advisers Act and Series 65 license
- Familiarity with direct-indexing or indexing products and platforms
- Knowledge of composite practices (GIPS) and trading lifecycle
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.
-
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.
-
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.
-
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.
