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- Tasks: Support compliance in investment management, focusing on governance and regulatory issues.
- Company: Vanguard is a leading investment management firm dedicated to serving investors fairly.
- Benefits: Enjoy a hybrid working model with flexibility and collaboration opportunities.
- Why this job: Join a growing team and make an impact in the investment compliance space.
- Qualifications: 7+ years of experience in investment management compliance, especially in Fixed Income.
- Other info: Vanguard values diversity and aims to build inclusive teams reflecting clients and communities.
The predicted salary is between 43200 - 72000 £ per year.
Join to apply for the Investment Compliance Specialist role at Vanguard. The successful candidate will support engagement with IMG, providing proactive advice on governance, regulatory compliance, and conduct matters relevant to Vanguard’s strategic and operational priorities, aligned with Vanguard’s risk appetite.
Primary Location: 25 Walbrook, London
Working Pattern: Hybrid (Tuesday - Thursday in the office)
Vanguard aims to serve all investors fairly and help them succeed. We seek an experienced compliance professional, with a focus on fixed income, to partner with Vanguard’s Investment Management Group (IMG). IMG manages portfolios across asset types including Equity, Fixed Income, and FX, covering active and index funds globally.
Role Summary
We are growing our European team and seek a compliance specialist to advise on governance and regulatory issues related to Vanguard’s investment activities, reporting to the Head of Investments and Product Compliance. The role involves collaborating with global teams in the US and Australia, supporting compliance with investment regulations affecting fixed income trading, portfolio management, and broader UCITS and ETF matters.
Core Responsibilities
- Guide the Investment Management business on regulations impacting trading and portfolio management, especially in Fixed Income.
- Support new business initiatives from a compliance perspective.
- Participate in compliance projects and respond to regulatory changes.
- Interpret and advise on regulations and Vanguard policies.
- Coordinate with global compliance teams.
- Maintain relationships with key stakeholders across legal, risk, and operational teams.
- Assess and respond to regulatory developments.
- Deliver regulatory training.
- Stay informed on industry news and regulations.
- Prepare reports and communicate compliance issues to senior management and boards.
Qualifications
- At least 7 years of relevant experience, preferably with Fixed Income coverage.
- Curious, commercial, relationship-oriented mindset.
- Strong knowledge of UCITS and EU/UK MiFID regulations.
- Degree or equivalent experience.
- Team player with independent working ability.
- Understanding of Vanguard’s business and asset types, including ETFs.
- Experience with fixed income trading instruments.
- Excellent communication and judgment skills.
- Commitment to continuous learning and team objectives.
Vanguard does not sponsor this position. We offer a hybrid working model, with flexibility and in-person collaboration. Details will be discussed during the interview. We value diversity and inclusion, guided by our core purpose to serve investors fairly and help them succeed. We aim to build inclusive teams that reflect our clients and communities.
Investment Compliance Specialist employer: Vanguard
Contact Detail:
Vanguard Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Investment Compliance Specialist
✨Tip Number 1
Familiarise yourself with Vanguard's core values and mission. Understanding how they aim to serve investors fairly will help you align your responses during interviews, showcasing that you're not just a fit for the role but also for the company culture.
✨Tip Number 2
Network with current or former employees of Vanguard, especially those in compliance roles. They can provide insights into the company’s expectations and culture, which can be invaluable when preparing for interviews.
✨Tip Number 3
Stay updated on the latest regulatory changes affecting investment management, particularly in fixed income. Being able to discuss recent developments and their implications during your interview will demonstrate your proactive approach and expertise.
✨Tip Number 4
Prepare to discuss specific examples from your past experience where you've successfully navigated compliance challenges. Highlighting your strategic thinking and relationship-building skills will show that you can add value to Vanguard’s Investment Management Group.
We think you need these skills to ace Investment Compliance Specialist
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities and qualifications required for the Investment Compliance Specialist role at Vanguard. Tailor your application to highlight your relevant experience in investment management compliance, especially in fixed income.
Highlight Relevant Experience: In your CV and cover letter, emphasise your seven years of experience in investment management compliance. Provide specific examples of how you've guided businesses on regulations impacting trading and portfolio management, particularly in Fixed Income.
Showcase Your Skills: Demonstrate your strong knowledge of UCITS and EU/UK MiFID regulations in your application. Mention any experience with fixed income trading instruments and your ability to build stakeholder trust through effective communication and judgement.
Personalise Your Application: Make your application stand out by personalising it for Vanguard. Reflect their commitment to diversity and inclusion in your cover letter, and express your enthusiasm for contributing to their mission of serving investors fairly.
How to prepare for a job interview at Vanguard
✨Know Your Regulations
Make sure you have a solid understanding of UCITS and EU/UK MiFID regulations. Be prepared to discuss how these regulations impact fixed income trading and portfolio management, as this will be crucial for the role.
✨Showcase Your Experience
With at least seven years of experience required, highlight specific examples from your past roles where you've successfully navigated compliance challenges. This will demonstrate your capability and build trust with the interviewers.
✨Emphasise Collaboration Skills
Since the role involves working with global teams, be ready to share examples of how you've effectively collaborated with different departments or regions in previous positions. This shows that you can work well in a hybrid environment.
✨Stay Informed
Demonstrate your commitment to continuous learning by discussing recent industry news or regulatory changes that could affect Vanguard. This shows your proactive approach and genuine interest in the field.
