Senior Compliance Advisor - Advice & Wealth Management

About the Role

Join a dynamic compliance team that’s not just about rules—but about shaping the future of ethical investing. As a Senior Compliance Advisor, you’ll help ensure our advisory services and business activities align with the highest standards of integrity, transparency, and client protection. This role is ideal for someone who thrives in a fast-paced environment, works closely with business partners, enjoys translating regulations into actionable guidance, and wants to make a real impact on how we serve our clients.

Responsibilities

• Design and enhance compliance programs, including developing and refining compliance processes for investment services and supporting regulatory advice reporting.
• Serve as a trusted advisor to the business, providing proactive guidance to senior leaders, advisory teams, and marketing on regulated activities and emerging regulatory trends.
• Monitor and mitigate risk by collaborating with Risk, Legal, and Audit teams to identify and resolve compliance gaps.
• Support regulatory exams and inquiries, prepare documentation, and assist Compliance leadership and other partners in preparing for regulator discussions.
• Lead training initiatives to embed a culture of compliance across the organization.
• Participate in research, interpretation, and implementation of compliance processes associated with the firm’s regulatory requirements and industry best practices, engaging other internal stakeholders as needed.
• Oversee the design, implementation, execution, and maintenance of compliance policies and procedures, including supporting the development of new compliance standards.
• Identify and implement corrective action plans for resolution of problematic issues.
• Participate in inspections and risk assessments, communicate findings, and facilitate the implementation of actionable items resulting from reviews.
• Serve as an expert on compliance-related issues.
• Participate in special projects and perform other duties as assigned.

Qualifications

• Minimum of five years’ related work experience, with at least two years within a financial services compliance function.
• Strong interest in, and ability to practically apply, relevant federal securities laws and associated rules.
• Well-organized with attention to detail and strong communication skills.
• Undergraduate degree or equivalent combination of training and experience.
• Series 65 and knowledge of the Investment Advisers Act preferred.

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, lead through products and services that transform our clients' lives, and 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.