Senior Compliance Specialist

Location: London

Contract: Permanent

Work Setup: Hybrid - 3 days in office

Who We Are

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.

What you'll do

• 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.

What you bring

• 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.

What's Next?

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. We are committed to creating an inclusive recruitment experience. If you require support or adjustments to the recruitment process, our Adjustment Concierge Service is here to help. Please feel free to contact us at [email protected] to discuss how we can support you.

This position is being recruited on behalf of our client through our Outsourcing service line. Resource Solutions Limited, trading as Robert Walters, acts as an employment business and agency, partnering with top organizations to help them find the best talent. We welcome applications from all candidates and are committed to providing equal opportunities.