Compliance Advisor

Compliance Advisor
Competitive
London
Permanent
Hybrid: 3 days required in the office

Our client, Vanguard Asset Management, is seeking a commercially minded, experienced Compliance Advisor to join their team in London. This role offers the opportunity to work with a rapidly growing business in Europe and partner with Vanguard’s Portfolio Review Department (PRD). The successful candidate will play a crucial role in product development and ensuring that existing funds remain compliant throughout their lifecycle. With an ambition of continued growth across Europe and a core objective of delivering superior outcomes to customers and clients, this role presents an exciting opportunity for a compliance specialist.

What you\’ll do:

As a Compliance Advisor at Vanguard Asset Management, you will be instrumental in providing proactive and pragmatic advice on governance, regulatory compliance and conduct matters relevant to Vanguard’s strategic and operational priorities. You will collaborate closely with colleagues in London and other European offices, supporting engagement with Vanguard’s European Product team (PRD). Your role will encompass professional compliance advice, support and oversight on all European products throughout their life cycle from research through implementation. This position offers an engaging blend of technical expertise, relationship management skills, and strategic insight.

1. Provide PRD with guidance and advice in relation to Vanguard products.
2. Build and maintain stakeholder relationships with colleagues in the Compliance Product Team (PRD), PRD, and other members of the Office of the General Counsel.
3. Provide specific regulatory advice at the early stage of research initiatives considering fund structures, target markets, costs and charges, distribution strategy, information required by distributors and our vulnerable customer and Consumer Duty responsibilities.
4. Work with Compliance colleagues and stakeholders to ensure the product governance framework is appropriate, embedded, including ongoing review and enhancements.
5. Contribute to the briefing/training of impacted business functions (and Boards) alongside fellow OGC colleagues.

What you bring:

The ideal candidate for the Compliance Advisor role at Vanguard Asset Management will bring a wealth of experience from a leading investment manager. You will have demonstrated your ability to provide commercial and value-adding regulatory advice. Your strong partnership skills coupled with your technical expertise will enable you to build trust with stakeholders. Your understanding of UCITS requirements along with UK and Irish product requirements will be critical in this role. Your curiosity, commercial acumen, tenacity, and lateral thinking will be key to your success.

1. At least five years related work experience within an asset management compliance function.
2. Strong knowledge of UCITS requirements and familiarity with UK and Irish product requirements.
3. Understanding of applicable regulations such as Consumer Duty, ESG-related regulation (UK Sustainability Disclosure Requirements / EU Sustainable Finance Disclosure Regulation (SFDR), and other regulatory regimes such as AiF.
4. Undergraduate degree or equivalent combination of training and experience.
5. A curious mindset, commercial acumen, tenacity, lateral thinking ability, and strong relationship orientation.

What sets this company apart:

Vanguard Asset Management is a globally recognised firm with a strong commitment to diversity and inclusion. Their dedication to these values is firmly rooted in their culture and guides every decision they make to best serve their clients, crew, and communities. They believe in building diverse, inclusive, and highly effective teams of individuals who are as unique as the clients they serve. At Vanguard, all crew members feel valued and included, fostering an environment that encourages collaboration and innovation.

What\’s next:

Ready to take the next step in your career?! Apply today.

We are committed to offering an inclusive recruitment experience. If you require accommodations because of disability or health condition, please email: gscemeaedi @ robertwalters.com.

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