Senior Compliance Specialist  Enterprise Compliance Advisory

The Role

We are seeking a highly capable Senior Compliance Specialist Enterprise Compliance Advisory to partner with Vanguard Europes key enterprise functions (Operations IT Cyber Security Finance) to provide proactive commercially minded compliance advice guidance and oversight. This role plays a critical part in enhancing resilience strengthening third party and technology risk management and embedding robust cybersecurity and AI governance practices.

You will drive forward the Enterprise Compliance Programme by identifying evaluating and mitigating regulatory and operational compliance risks ensuring Vanguard maintains an effective future ready risk posture aligned with emerging threats and evolving regulatory expectations.

Key Responsibilities

Compliance Advisory & Oversight

• Serve as a trusted adviser to enterprise functions offering highquality valueadding compliance advice across resilience cyber security thirdparty risk operational risk and technology risk domains

• Provide oversight of regulatory obligations and ensure alignment with compliance and enterprise risk frameworks and controls expectations

• Monitor regulatory developments affecting enterprise operations and translate these into actionable guidance for stakeholders

AI Governance

• Provide an oversight of AI compliance practices and champion alignment with emerging European AI laws and standards

• Embed regulatory AI compliance considerations throughout the AI system lifecycle from initial design to deployment and ongoing monitoring

• Promote responsible adoption and ethical use of AI technologies across Vanguard Europe

Risk Management

• Identify and assess compliance risks related to cybersecurity operational resilience thirdparty relationships and emerging technology including AI.

• Contribute to risk management strategies leveraging Compliance and Enterprise Risk Management frameworks and methodologies.

• Support Compliance risk assessment including monitoring of remediation and issue escalation

Compliance Programme Implementation

• Support delivery of Enterprise Compliance programmes including operational and digital resilience cyber security control frameworks thirdparty oversight enhancements and technology risk initiatives

• Contribute to global compliance strategy execution by collaborating with colleagues across Compliance Advisory Central Compliance and Regulatory Affairs as well as Business Partners across three lines of defence

• Promote consistency bestpractice adoption and process optimisation across all aspects of the global Enterprise Compliance program

Stakeholder Engagement & Culture

• Build and maintain strong relationships across all levels of the organisation influencing decisionmaking and advocating for compliant riskaware business practices

• Foster a culture of compliance across Enterprise functions by providing relevant insights and guidance

• Represent Compliance in working groups governance forums and crossfunctional projects

What it takes

• Proven experience in a compliance risk or governance function within investment management banking Big four or other regulated industries within financial services

• Strong technical expertise in operational resilience cyber security thirdparty risk management technology risk and AI governance

• Proven track record of delivering commercial wellreasoned compliance advice and effectively challenging firstline stakeholders

• Experience working across the three lines of defence with the ability to interpret regulatory expectations and implement practical solutions

• Excellent relationshipbuilding skills; able to influence and communicate with senior leadership technical specialists and crossfunctional colleagues

• Strong analytical skills comfortable working with ambiguity and driving clarity in complex evolving areas such as AI and digital resilience

• Proactive solutionsoriented mindset with the ability to anticipate risk identify emerging themes and guide business partners accordingly

• High levels of integrity sound judgement and the ability to handle sensitive information appropriately

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.