Compliance Specialist, Central Compliance

The Role of a Compliance Specialist, Central Compliance at Vanguard

Join Vanguard's expanding Central Compliance team to ensure our European operations remain safe, smart, and fully compliant. This opportunity is ideal for individuals eager to develop a career in compliance, gaining practical experience across regulatory reporting, governance, policy management, and operational excellence.

As a Compliance Specialist, Central Compliance, you will be integral to our compliance efforts, managing regulatory filings, overseeing our mandatory training program, supporting strategic initiatives, and leveraging technology, including AI tools, to enhance operational efficiency. If you are organized, inquisitive, and a quick learner, this role offers significant exposure and growth potential within Vanguard.

Key Responsibilities

• Own and submit regulatory filings through FCA and Swiss portals, proactively monitoring regulatory changes.
• Coordinate the European Compliance Mandatory Training program and manage the Learning Management System (LMS).
• Support the daily execution of compliance projects, ensuring tasks are on schedule and effectively completed.
• Maintain precise registers, trackers, and documentation for breaches, audits, monitoring actions, and reporting.
• Utilize AI and digital tools to summarize information, draft materials, and support reporting cycles.
• Prepare high-quality materials for senior stakeholders, committees, and boards.
• Support onboarding, internal communications, and compliance awareness campaigns.
• Manage policy updates, version control, and quality checks.
• Coordinate Compliance Risk Assessments and track issues within Archer.
• Assist with team operations, including budget tracking, calendars, governance routines, and workflows.
• Identify opportunities to automate and improve processes.

What Vanguard Looks For

• A strong, proven understanding of FCA systems and controls.
• Exceptional organizational skills, attention to detail, and the ability to manage multiple priorities.
• Confidence in working independently and exercising initiative.
• Excellent written and verbal communication skills.
• High integrity and professionalism when handling sensitive information.
• Ability to engage effectively with stakeholders at all levels.
• Strong Microsoft Office proficiency and enthusiasm for utilizing AI/Copilot for smarter work.
• Curiosity, proactivity, and a genuine interest in advancing a compliance career.
• A collaborative mindset and a commitment to continuous improvement.

Special Considerations

Vanguard is not offering sponsorship for this position. This is a hybrid role requiring attendance in the office three days per week (Tuesday, Wednesday & Thursday). This role involves activities regulated by the UK Financial Conduct Authority (FCA). The successful candidate will be subject to UK regulatory requirements concerning conduct rules, regulatory references, and assessment of fitness, propriety, knowledge, experience, and competence. FCA approval may be required.

Why Join Vanguard?

Vanguard is a distinctive investment company founded in 1975 with the revolutionary principle of managing funds solely in the best interests of its clients. This philosophy has enabled millions globally to achieve their financial goals through low-cost, uncomplicated investments. At Vanguard, we champion value for investors.

Inclusion at Vanguard

Vanguard’s dedication to diversity and inclusion is deeply embedded in our culture, guided by the principle: “Do the right thing.” We believe that achieving this requires building diverse, inclusive, and highly effective teams that mirror the uniqueness of our clients. We empower our crew (employees) to leverage their distinct strengths to fulfill Vanguard’s core purpose through our shared values. When every crew member feels valued and included, our ability to collaborate and innovate is amplified, uniting us in our mission to advocate for all investors, treat them fairly, and maximize their chances for investment success.

Our Commitment to Equal Employment Opportunity

Vanguard is an equal opportunity employer committed to providing a discrimination-free working environment. Our EEO Policy reaffirms this commitment for all applicants and crew members, without regard to race, color, national origin or ancestry, religion, gender, sex, sexual orientation, gender identity or expression, age, disability, marital status, veteran or military status, genetic information, or any other characteristic protected by law. Applicants with disabilities may be entitled to reasonable accommodation; please contact careers@vanguard.com for assistance.

How We Work

Vanguard operates a hybrid working model for most crew members, balancing flexibility with in-person collaboration, learning, and connection. This model supports our mission-driven, collaborative culture, aiming for long-term client outcomes and an enriched employee experience.

Key skills/competency

• Regulatory Compliance
• FCA Regulations
• Policy Management
• Risk Assessment
• Project Coordination
• AI Tools
• Stakeholder Management
• Operational Excellence
• Reporting & Filings
• Communication Skills