Senior Compliance Associate

The Role

As a Senior Compliance Associate, you will play a pivotal role in a dynamic and expanding compliance team at the heart of UKPI's mission to deliver robust, scalable, and effective compliance oversight. This is a unique opportunity to help shape the second line of defence, ensuring our business continues to grow and scale while maintaining the highest standards of regulatory compliance and operational excellence.

You will act as a trusted compliance business partner, providing expert advice on regulatory, propositional, marketing, and operational arrangements. Your work will directly support strategic business change, regulatory initiatives, and the embedding of a strong compliance culture across the organization.

As part of our growing international compliance team, you'll be at the forefront of safeguarding our clients and enabling sustainable business growth. Join us to play a central role in strengthening our compliance function, empowering teams, and supporting the continued growth and success of UKPI.

In this role you will

• Serve as a compliance business partner for the retail investment platform, advising on propositional, marketing, and operational arrangements, including regulatory and strategic business change
• Interpret and apply UK regulations and FCA expectations relevant to retail investment platforms and SIPP operators
• Provide subject matter expertise on the FCA Handbook as applicable
• Demonstrate a strong understanding of mutual funds and ETF structures, as well as distribution arrangements through ISAs, JISAs, SIPPs, and General Accounts
• Collaborate with first line teams to embed compliance risk management frameworks, conduct compliance risk assessments, and support incident management
• Analyse complex regulatory requirements and advise on appropriate outcomes, particularly under a Consumer Duty lens
• Represent Compliance at internal committees and forums, engaging confidently with senior management and staff at all levels
• Proactively identify, assess, and mitigate compliance risks, supporting the business in delivering compliant growth and innovation

• Significant experience as a compliance business partner within a retail investment platform or similar regulated environment
• In-depth knowledge of UK regulations and FCA expectations, especially as they pertain to investment platforms and SIPP operators
• Demonstrable experience advising on regulatory change, business transformation, and operational arrangements
• Strong understanding of mutual funds, ETFs, and distribution channels (ISAs, JISAs, SIPPs, General Accounts)
• Experience working with first line teams to embed compliance frameworks and manage risk
• Ability to analyse complex regulatory requirements and deliver clear, actionable advice under a Consumer Duty lens
• Excellent problem-solving skills, with a proactive mindset and the ability to work independently or as part of a team
• Confident communicator, comfortable engaging with senior management and representing Compliance at internal forums

• Vanguard is not offering sponsorship for this position
• This is a hybrid position and would require you to work in the office 3 days per week (Tuesday, Wednesday & Thursday)