Vanguard
Senior Compliance Advisor, 6-Month Contractor
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The Role
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. Have an understanding of HMRC legislation for pensions and ISAs
- 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
- Partner with the wider areas of the Office of the General Council to ensure coherent compliance and legal position, and to obtain specialist expertise when required
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What it takes
- 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
- Ability to analyse complex regulatory requirements and deliver clear, actionable advice under a Consumer Duty lens
- Ability to work at pace in a fast-moving environment, staying aligned with team priorities and collaborating effectively to deliver clear, consistent compliance outcomes
- Excellent problem-solving skills, with a proactive mindset and the ability to work independently or as part of a team
- 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
- Confident communicator, comfortable engaging with senior management and representing Compliance at internal forums
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Special Factors
- 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)
- Please note this role is being offered on a 6-month contractor basis
- This role encompasses activities that fall within the remit of UK Financial Conduct Authority (FCA’) regulation. The successful candidate will therefore be subject to UK regulatory requirements in relation to conduct rules, regulatory references and the assessment of fitness and propriety, knowledge, experience and competence. Where appropriate, the role may also be subject to approval by the UK FCA.
Why Vanguard?
Vanguard is a different kind of investment company. It was founded in the United States in 1975 on a simple but revolutionary idea: that an investment company should manage its funds solely in the interests of its clients.
This is a philosophy that has helped millions of people around the world to achieve their goals with low-cost, uncomplicated investments.
It's what we stand for: value to investors.
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.
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