Senior Compliance Advisor – Portfolio Review Department

We are seeking a commercially minded, experienced Compliance professional to partner with Vanguard’s Portfolio Review Department (PRD). The role focuses on product development and ensuring that existing funds remain compliant throughout the funds lifecycle. Based in London, you’ll collaborate with colleagues across Europe and report to the Head of Investments and Product Compliance. The position is a second‑line of defence supporting the full lifecycle of our European products, including Irish and UK funds and ETFs.

Responsibilities

• Provide guidance and advice to PRD on Vanguard products, including UK and Irish authorized funds.
• Build and maintain stakeholder relationships with colleagues in the Compliance Product Team, PRD and the Office of the General Counsel (Compliance, Legal, Investment Stewardship and Government Relations) and other teams supporting Vanguard’s funds.
• Offer specific regulatory advice early in research initiatives, taking into account fund structures, target markets, costs and charges, distribution strategy, distributor information requirements and Consumer Duty responsibilities.
• Advise on the anticipation, impact assessment and response to regulatory developments.
• Design and deliver effective regulatory training initiatives to the business.
• Maintain a deep knowledge of the investment industry, especially consumer duty, AoV and PROD.
• Stay abreast of current market trends, 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

• Significant related work experience within an asset‑management compliance function, with a preference for fixed‑income desk coverage.
• A curious, commercial, tenacious, lateral thinker who is relationship oriented.
• Strong knowledge of the FCA Handbook (especially around PROD) and CBI requirements in relation to UCITS product regulation.
• Understanding and awareness of product governance requirements for distributors.
• Understanding of FCA consumer duty, SDR, requirements and SFDR and ESG regulation more broadly in distribution areas.
• Strong knowledge of UCITS (specific focus on Irish and UK requirements) and UK AiFs.
• Ability to develop a broad understanding of Vanguard’s business and the investment industry, including ETF funds.
• Positive relationship‑management skills, including the ability to interact with individuals at various levels inside and outside the company.
• Ability to manage multiple and diverse responsibilities and meet deadlines.
• Excellent judgment and decision‑making skills; ability to analyse and respond to issues.

Work Conditions

• Location: London, United Kingdom.
• This is a hybrid position, requiring office presence three days a week (Tuesday, Wednesday and Thursday).

Equal Employment Opportunity

Vanguard is an equal‑opportunity employer. We are committed to providing a working environment that is free from discrimination, prejudice and bias. We reaffirm our commitment to equal employment opportunity for all applicants and crew members regardless of race, colour, national origin, religion, gender, sexual orientation, gender identity, age, disability or other protected characteristics. We also prohibit discrimination based on genetic information and comply with the applicable laws. Applicants with disabilities may be entitled to reasonable accommodation. Please contact careers@vanguard.com if you need assistance completing the application or otherwise participating in the process.