Senior Compliance Advisor - Investment Management Group

Role Overview

The Team Vanguard’s 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 Vanguard’s Investment Management Group (IMG), with a primary focus on fixed‑income expertise.

Key Responsibilities

• Provide the Investment Management business with guidance and advice on investment‑related regulations impacting trading and portfolio management activities, with a specific focus on Fixed Income active and indexing desks.
• Advise on and oversee new business initiatives from a compliance perspective.
• Participate in compliance or business‑driven projects, including regulatory developments and strategic initiatives.
• Interpret regulations on Vanguard global and local policies in relation to investment decisions, issues and potential breaches.
• Liaise with other IMG Compliance Advisory teams 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 Vanguard’s funds.
• Provide advice on the anticipation, impact assessment and response to regulatory developments.
• Design and deliver effective regulatory training initiatives to the business.
• Maintain a deep knowledge and awareness of the investment industry and stay abreast of relevant market, regulatory and industry 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.

Qualifications & Experience

• Proven and 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 Vanguard’s business and the investment industry (including understanding of ETF funds).
• Detailed knowledge and understanding of trading fixed‑income instruments and a broader understanding of a 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.

Additional Requirements

This hybrid role requires working in the office three days per week (Tuesday, Wednesday & Thursday). The role is subject to UK Financial Conduct Authority (FCA) regulatory requirements, including conduct rules, regulatory references, and fitness and propriety assessments.

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, religion, gender, sexual orientation, gender identity, age, disability, marital status, veteran or military status. Vanguard prohibits discrimination based on genetic information and 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.