Senior Compliance Advisor, Fund and Advisor Compliance

You will be a member of a newly established team of dedicated compliance professionals that will focus on building an information barrier oversight program and delivering investment management compliance guidance in response to the creation of two separate affiliated investment advisors. This role is critical in ensuring Vanguard adheres to regulatory requirements and internal policies. You will serve as a trusted advisor to the investment management business and provide guidance, oversight, and relationship management. The position involves monitoring and managing information flows, conducting information barrier monitoring, and providing day-to-day compliance advice to the Equity and Fixed Income trade desks.

The ideal candidate should have experience in managing and making assessments related to MNPI risk, designing effective information barrier controls, overseeing wall-crosses, and training employees on securities regulations. Additionally, this role requires flexibility to assist the broader compliance department with projects, inspections, audits, and exams. You will need to be familiar with regulations, guidelines, capital markets structure, trading conflicts of interest, and emerging issues impacting registered 40 Act funds and ETFs. The successful candidate will demonstrate judgment, technical expertise, initiative, and creativity; and will possess strong workflow management, organizational and communication skills, with the ability to handle a variety of projects simultaneously with minimal supervision, prioritize to meet tight deadlines in the context of servicing dynamic business units, and serve as a key member of a team of compliance professionals.

• Lead, develop, and manage ethical wall controls and monitors between affiliated investment advisers, including wall crosses, as well as writing policies and procedures.
• Act as the point of contact and manage key relationships with IMG Portfolio Managers, Traders, Risk, Compliance, and other internal stakeholders.
• Provide advice, guidance, and training to IMG crew on information barriers, including responding to live trading questions in a timely, risk-based fashion.
• Act as the compliance subject matter expert for relevant business change initiatives.
• Serve as an escalation point for compliance program monitoring, testing, risk assessments, and trade surveillance.
• Monitor electronic communications to enforce information barriers.
• Participate in new rule implementations pertaining to your coverage area.
• Support the wider Global Fund, Advisor, and Distribution team as needed.
• Participates in special projects and performs other duties as assigned.

• Minimum of five years related work experience, with at least two years within a financial services compliance function. Regulatory, compliance, investment, or auditing experience preferred.
• Undergraduate degree or equivalent combination of training and experience. Graduate degree preferred.
• Familiarity with regulations, capital markets structure, conflicts of interest, and emerging issues impacting registered 40 Act funds and ETFs.