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Vanguard

Vanguard

60 jobs near Columbus, OH

Vanguard Group, Inc.

Senior Wealth Advisor

Tampa, FL · On-site

Join Vanguard as a Wealth Advisor Are you a Certified Financial Planner (CFP ® ) with a passion for transforming lives through expert financial guidance? Vanguard is seeking Wealth Advisors and ...

Vanguard Group, Inc.

Senior Wealth Advisor

Houston, TX · On-site

Join Vanguard as a Wealth Advisor Are you a Certified Financial Planner (CFP ® ) with a passion for transforming lives through expert financial guidance? Vanguard is seeking Wealth Advisors and ...

Vanguard Group, Inc.

Financial Advisor

Dallas, TX · On-site

Vanguard is seeking talented Financial Advisors to join our dynamic team across our four sites: Scottsdale, AZ, Charlotte, NC, Malvern, PA, and Dallas, TX. In this role, you will build and maintain ...

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Senior Compliance Advisor - Vanguard Personalized Indexing (VPI) | Advice & Wealth Management

Vanguard Group, Inc.

Malvern, PA • On-site

Full-time

Re-posted 16 hours ago

Vanguard rating

8.7

Company rating: 8.7 out of 10

Based on 64 frontline employees who took The Breakroom Quiz

16th of 154 rated financial services

Job description

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.

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