Senior Compliance Advisor- Vanguard Personalized Indexing (VPI) | Wealth Management

The Vanguard Group•Scottsdale, PA

7d•Hybrid

About The Position

Join a forward-thinking compliance team at the forefront of innovation in investment advisory services. As a Compliance Advisor supporting Vanguard Personalized Indexing Management (VPIM), you’ll play a pivotal role in shaping the future of our personalized investing offers. You’ll serve as a strategic compliance partner, ensuring regulatory integrity and operational excellence across VPI’s lifecycle—. Your responsibilities will include: Serving as an experienced advisor to the business, interfacing regularly with business unit stakeholders, risk and legal partners, and other compliance colleagues. Overseeing 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. Collaborating 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.

Requirements

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.

Nice To Haves

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

Responsibilities

Serves as an experienced advisor to the business, and interfaces regularly with business unit stakeholders and internal risk and compliance partners
Manages regulatory visits, exams, inquiries and investigations within the business.
Provides guidance to mitigate compliance risks and control gaps.
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.
Manages operational efficiency.
Sets measurable standards leveraging internal and external resources accordingly.
Serves as an expert on compliance related issues.
Participates in special projects and performs other duties as assigned.