Compliance Advisor

Compliance Advisor (15229) London, England

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:

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:

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

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