Join a forward-thinking compliance team at the forefront of innovation in investment advisory services. As a Senior Compliance Advisor supporting Vanguard Personalized Indexing Management (VPIM), you'll play a pivotal role in shaping the future of our personalized investment offering.
You'll serve as a strategic compliance partner, ensuring regulatory integrity and operational excellence across VPI's lifecycle.
Responsibilities
Serve as an experienced advisor to the business, interfacing regularly with business unit stakeholders, risk and legal partners, and other compliance colleagues.
Oversee the design, implementation execution, and maintenance of compliance policies and procedures. Support new compliance standards.
Participate in research, interpretation and implementation of compliance processes associated with the firm's regulatory requirements and industry best practices, including engaging other internal stakeholders in their support of same.
Collaborate with cross-functional teams to vet learnings, refine/enhance processes and procedures, and ensure compliance readiness for future phases.
Participate in business inspections and risk assessments, communicate findings, and facilitate the implementation of actionable items resulting from the reviews.
This is a high-impact opportunity to influence how Vanguard delivers personalized investment experiences while upholding its commitment to fiduciary excellence. Ideal candidates will bring deep knowledge of investment advisory compliance, a proactive mindset, and a passion for innovation in the advisory space.
Qualifications
Minimum of five years' related work experience, with at least two years within a financial services compliance function.
Well-organized with attention to detail and strong communication skills.
Undergraduate degree or equivalent combination of training and experience.
Preferred Qualifications
Knowledge of the Investment Advisers Act and Series 65 license
Familiarity with direct-indexing or indexing products and platforms
Composite practices (GIPS) and trading lifecycle
Special Factors
Sponsorship
Vanguard is not offering visa sponsorship for this position.
About Vanguard
At Vanguard, we don't just have a mission-we're on a mission.
To work for the long-term financial wellbeing of our clients. To lead through product and services that transform our clients' lives. To learn and develop our skills as individuals and as a team. From Malvern to Melbourne, our mission drives us forward and inspires us to be our best.
How We Work
Vanguard has implemented a hybrid working model for the majority of our crew members, designed to capture the benefits of enhanced flexibility while enabling in-person learning, collaboration, and connection. We believe our mission-driven and highly collaborative culture is a critical enabler to support long-term client outcomes and enrich the employee experience.
| Location | Dallas, TX |