Senior Compliance Advisor Investment Management Group

The Team

Vanguards purpose is to take a stand for all investors to treat them fairly and to give them the best chance of investment success. With a rapidly growing business in Europe we are seeking a proactive commercially minded experienced Compliance professional to partner with Vanguards Investment Management Group (IMG) with a primary focus on fixed income expertise.

IMG is responsible for portfolio management and trading across a number of asset types including Equity Fixed Income and FX. Our Fixed Income Team capabilities span both active and index funds covering the entire fixed income universe from government securities to corporate bonds across developed and emerging markets including money market funds.

The Role

Were expanding across Europe and seeking a Compliance Specialist to join our Investment Management Compliance Advisory this role youll provide clear proactive guidance on regulatory and governance matters impacting Vanguards investment management activities.

Reporting to the Head of Investments and Product Compliance youll work closely with the Londonbased IMG team and collaborate with colleagues across the US Australia and other Compliance functions.

As part of the second line of defence youll act as a trusted adviser on key investmentrelated regulations including best execution allocations derivatives trade and transaction reporting investment restrictions and UCITS/ETF requirements.

In this role you will

• Provide the Investment Management business with guidance and advice on investment-related regulations impacting trading and portfolio management activities with specific focus on Fixed Income active and indexing desks

• Advise on and oversee new business initiatives from a Compliance perspective

• Provide Compliance participation in Compliance or business-driven projects including regulatory developments and strategic initiatives

• Advise on and interpreting regulation on Vanguard global and local policies in relation to investment decisions issues and potential breaches

• Liaise with other IMG Compliance Advisory teams based in Malvern U.S. and Melbourne Australia on global issues

• Build and maintain stakeholder relationships with IMG the risk team (RMG) other members of the Office of the General Counsel (Compliance Legal Investment Stewardship and Government Relations) and other teams supporting the operations of Vanguards funds

• Provide advice on the anticipation impact assessment and response to regulatory developments

• Design and delivering effective regulatory training initiatives to the business

• Maintain a deep knowledge and awareness of the investment industry. Stay abreast of current market regulatory and industry relevant news

• Contribute to the creation of management reporting and communication on Compliance matters to senior management business stakeholders Boards and governance bodies such as Oversight Committees

What it takes

Our ideal candidate will previous experience working within a leading investment manager and will have a track record of providing commercial and value-adding regulatory advice in collaboration with the Investment team Risk and Legal colleagues as required.

You will need:

• Proven significant experience within an asset management compliance function with a preference for Fixed Income desk coverage

• Strong knowledge of UCITS products and EU / UK MiFID investment regulations

• Ability to develop a broad understanding of Vanguards business and the investment industry (including understanding of ETF funds)

• Detailed knowledge and understanding of trading fixed income instruments and broader understanding of variety of asset types

• Positive relationship management skills including the ability to interact with junior and senior stakeholders both internally and externally

• Proven ability to function in a fast-paced environment while managing multiple and diverse responsibilities and keeping to deadlines

• Excellent judgment and decision-making skills; ability to analyse and respond to issues

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.