Senior Compliance Associate
London, England, GBR
6d ago

Vanguard’s core purpose is to take a stand for all investors, to treat them fairly, and to give them the best chance for investment success.

In support of our innovative, multi-faceted and highly regulated business lines, Vanguard’s Compliance Department encounters a wide range of complex issues while providing outstanding, high-value business partnership and compliance support.

To support its growing and evolving investment offerings, you will support Vanguard’s European business as part of the Business Compliance Advisory Team.

Our aim is to work side by side with the Vanguard business and to be a trusted business partner. Your role will be to provide flexible compliance solutions whilst finding ways to continuously improve the control environment in a business that puts the client at its centre.

Here, we grow by doing the right thing for the people we serve. And so can you. Are you ready to make a difference?

In this role you will :

  • Provide day to day compliance advisory support to all areas of our digital UK Personal Investor business which includes Operations, Marketing, Digital and Propositions.
  • Support existing team members as required in areas such as financial promotions, PA Dealing and Code of Ethics, UK Sales and Distribution.
  • Participate in projects related to regulatory or business change and ensuring correct 1st and 2nd line responsibilities.
  • Take responsibility for your own deliverables and in meeting deadlines whilst being part of a supportive team environment.
  • What it takes :

  • Five or more years of relevant advisory compliance experience gained in a retail focused business in asset management, wealth management or retail platform provider.
  • Broad understanding of FCA and European regulations impacting retail clients
  • Broad understanding of Vanguard’s business and the investment industry; knowledge of and experience with FCA.
  • Knowledge of retail UCITs products as well as different account types such as ISA and SIPP.
  • Knowledge of the operations of retail platforms including CASS, dealing and transaction reporting.
  • Positive relationship management skills, including ability to interact with individuals at various levels internal and external to the company.
  • Proven ability to function in a fast-paced, ambiguous environment while managing multiple and diverse responsibilities whilst keeping to deadlines.
  • Excellent judgment and decision-making skills; ability to analyze and respond to issues.
  • Excellent verbal and written communication skills.
  • Ability to elicit trust and confidence and maintain composure and a positive approach in challenging situations.
  • Special Factors

  • The position is considered a "Fund Access Person" position under Vanguard’s Code of Ethics (See CrewNet); some travel, for trainings, seminars and global coordination, may be required.
  • Vanguard is not offering visa sponsorship for this position.
  • About Vanguard

    We are Vanguard. Together, we’re changing the way the world invests.

    For us, investing doesn’t just end in value. It starts with values. Because when you invest with courage, when you invest with clarity, and when you invest with care, you can get so much more in return.

    We invest with purpose and that’s how we’ve become a global market leader.

    We want to make success accessible to everyone. This is our opportunity. Let’s make it count.

    Inclusion at Vanguard

    Vanguard’s continued dedication to diversity and inclusion is firmly rooted in our culture. Every decision we make to best serve our clients, crew (internally employees are referred to as crew), and communities is guided by one simple statement : Do the right thing.

    We believe that a critical aspect of doing the right thing requires building diverse, inclusive, and highly effective teams of individuals who are as unique as the clients they serve.

    We empower our crew to contribute their distinct strengths to achieving Vanguard’s core purpose through our values.

    When all crew members feel valued and included, our ability to collaborate and innovate is amplified, and we are united in delivering on Vanguard's core purpose.

    Our core purpose : To take a stand for all investors, to treat them fairly, and to give them the best chance for investment success.

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