Senior Compliance Advisor - Technology, Cybersecurity, Information Security, and AI

Vanguard-posted 23 days ago
Full-time • Mid Level
Malvern, PA
5,001-10,000 employees
Funds, Trusts, and Other Financial Vehicles
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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.

  • 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.
  • 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.
  • 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.
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