Senior Compliance Associate

The Role

As a Senior Compliance Associate you will play a pivotal role in a dynamic and expanding compliance team at the heart of UKPIs mission to deliver robust scalable and effective compliance oversight. This is a unique opportunity to help shape the second line of defence ensuring our business continues to grow and scale while maintaining the highest standards of regulatory compliance and operational excellence.

You will act as a trusted compliance business partner providing expert advice on regulatory propositional marketing and operational arrangements. Your work will directly support strategic business change regulatory initiatives and the embedding of a strong compliance culture across the organization.

As part of our growing international compliance team youll be at the forefront of safeguarding our clients and enabling sustainable business growth. Join us to play a central role in strengthening our compliance function empowering teams and supporting the continued growth and success of UKPI.

In this role you will

• Serve as a compliance business partner for the retail investment platform advising on propositional marketing and operational arrangements including regulatory and strategic business change

• Interpret and apply UK regulations and FCA expectations relevant to retail investment platforms and SIPP operators

• Provide subject matter expertise on the FCA Handbook as applicable

• Demonstrate a strong understanding of mutual funds and ETF structures as well as distribution arrangements through ISAs JISAs SIPPs and General Accounts

• Collaborate with first line teams to embed compliance risk management frameworks conduct compliance risk assessments and support incident management

• Analyse complex regulatory requirements and advise on appropriate outcomes particularly under a Consumer Duty lens

• Represent Compliance at internal committees and forums engaging confidently with senior management and staff at all levels

• Proactively identify assess and mitigate compliance risks supporting the business in delivering compliant growth and innovation

What it takes

• Significant experience as a compliance business partner within a retail investment platform or similar regulated environment

• In-depth knowledge of UK regulations and FCA expectations especially as they pertain to investment platforms and SIPP operators

• Demonstrable experience advising on regulatory change business transformation and operational arrangements

• Strong understanding of mutual funds ETFs and distribution channels (ISAs JISAs SIPPs General Accounts)

• Experience working with first line teams to embed compliance frameworks and manage risk

• Ability to analyse complex regulatory requirements and deliver clear actionable advice under a Consumer Duty lens

• Excellent problem-solving skills with a proactive mindset and the ability to work independently or as part of a team

• Confident communicator comfortable engaging with senior management and representing Compliance at internal forums

Special Factors

• Vanguard is not offering sponsorship for this position

• This is a hybrid position and would require you to work in the office 3 days per week (Tuesday Wednesday & Thursday)

This role encompasses activities that fall within the remit of UK Financial Conduct Authority (FCA) regulation. The successful candidate will therefore be subject to UK regulatory requirements in relation to conduct rules regulatory references and the assessment of fitness and propriety knowledge experience and competence. Where appropriate the role may also be subject to approval by the UK FCA.

Why Vanguard

Vanguard is a different kind of investment company. It was founded in the United States in 1975 on a simple but revolutionary idea: that an investment company should manage its funds solely in the interests of its clients.

This is a philosophy that has helped millions of people around the world to achieve their goals with low-cost uncomplicated investments.

Its what we stand for: value to investors.

Inclusion Statement

Vanguards continued commitment to diversity and inclusion is firmly rooted in our culture. Every decision we make to best serve our clients crew (internally employees are referred to as crew) and communities is guided by one simple statement: Do the right thing.

We believe that a critical aspect of doing the right thing requires building diverse inclusive and highly effective teams of individuals who are as unique as the clients they serve. We empower our crew to contribute their distinct strengths to achieving Vanguards core purpose through our values.

When all crew members feel valued and included our ability to collaborate and innovate is amplified and we are united in delivering on Vanguards core purpose: to take a stand for all investors to treat them fairly and to give them the best chance for investment success.

Our commitment to equal employment opportunity

Vanguard is an equal opportunity employer. Vanguard is committed to providing all crew members a working environment that is free from discrimination prejudice and bias. Through this Equal Employment Opportunity (EEO) Policy Vanguard reaffirms its commitment to equal employment opportunity for all applicants and crew members without regard to race color national origin or ancestry religion gender sex sexual orientation gender identity or expression age disability marital status veteran or military addition Vanguard prohibits discrimination based on genetic information as well as any other characteristic protected by federal state or local law.

Applicants with disabilities may be entitled to reasonable accommodation under the Americans with Disabilities Act and certain state or local laws. A reasonable accommodation is a change in the way things are normally done which will ensure an equal employment opportunity without imposing undue hardship on Vanguard. Please informif you need assistance completing this application or to otherwise participate in the application process.

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.