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

Scottsdale, AZ - USA

Monthly Salary: Not Disclosed

Posted on: 30+ days ago

Vacancies: 1 Vacancy

Job Summary

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) youll play a pivotal role in shaping the future of our personalized investing offers.

Youll serve as a strategic compliance partner ensuring regulatory integrity and operational excellence across VPIs 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 firms 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.

Core 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.

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

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.

Special Factors

Sponsorship

Vanguard is not offering visa sponsorship for this position.

About Vanguard

At Vanguard we dont just have a missionwere 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.

Required Experience:

Senior IC