Senior Compliance Advisor – Vanguard Personalized Indexing (VPI) | Advice & Wealth Management
Core
Strategic compliance partner ensuring regulatory integrity and operational excellence for Vanguard's Personalized Indexing Management (VPIM) offering.
Role type
Senior Compliance Advisor (Investment Advisory)
Builds
Compliance policies, procedures, and readiness for personalized investment products.
Domain
Financial Services / Investment Advisory / Regulatory Compliance
Deliverable
client delivery
Required skills
Investment advisory compliance knowledge, regulatory interpretation, policy design and implementation, risk assessment, stakeholder management
Preferred skills
Investment Advisers Act knowledge, Series 65 license, direct-indexing product familiarity, GIPS practices
Technologies
N/A
Responsibilities
Advise business unit stakeholders on compliance matters; oversee design and maintenance of compliance policies; interpret regulatory requirements; collaborate on process refinement; conduct business inspections and risk assessments.
Seniority
Senior, hands-on IC