Senior Compliance Specialist

Vanguard is a global investment leader, known for low-cost, client-focused solutions across mutual funds, ETFs, and retirement services, helping investors achieve their financial goals with integrity and innovation.

• Act as a compliance business partner to FAS wholesale distribution teams, providing regulatory guidance on sales, marketing, and operational arrangements.
• Review and approve financial promotions in line with UK and EU regulations.
• Advise on third-party distribution arrangements and bilateral agreements across the UK and Europe.
• Support business transformation, regulatory initiatives, and the development of compliance frameworks, guidance, and training.
• Collaborate with first line teams to embed risk management, conduct compliance assessments, and manage incidents.
• Represent Compliance at internal forums, proactively identifying and mitigating regulatory and operational risks.

• Extensive experience in compliance within asset management, financial advisory, or related regulated environments.
• Strong knowledge of mutual funds, ETFs, and distribution platforms.
• Proven experience advising on sales and distribution, marketing, and operational arrangements, including regulatory and strategic business change.
• Solid understanding of UK and EU regulations, including UCITS, MiFID, and FCA rules.
• Skilled in embedding compliance frameworks, managing risk, and supporting first line teams.
• Analytical and proactive, with excellent problem-solving and communication skills, confident engaging with senior management.

If you are ready to take the next step, apply now. Successful applicants will be contacted directly by a recruiter to discuss the role more.

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