About

Senior Compliance AssociateLocation: ManchesterJob Type: PermanentWork Setup: Hybrid - 3 days in the office Who We AreVanguard is one of the world's leading investment firms, dedicated to helping clients achieve lasting financial success. Established in 1975, its unique ownership structure-where funds own the company and investors own the funds-ensures all efforts are focused on client outcomes. Known for integrity, innovation, and low-cost investing, fosters an inclusive and collaborative culture that empowers employees to make a meaningful impact globally. What You'll Do Act as the Compliance business partner to the retail investment platform, advising on product, marketing, operational arrangements, and regulatory or strategic change Interpret and apply UK regulatory requirements and FCA expectations for retail investment platforms and SIPP operators, providing FCA Handbook subject matter expertise Provide regulatory advice on mutual funds, ETFs, and distribution via ISAs, JISAs, SIPPs, and General Investment Accounts Partner with first line teams to embed compliance risk management frameworks, conduct risk assessments, and support incident management Analyse complex regulatory requirements and deliver pragmatic, compliant outcomes, with a strong focus on Consumer Duty Proactively identify, assess, and mitigate compliance risks, representing Compliance at internal committees and engaging effectively with senior stakeholders What You Bring Significant experience across asset management and financial advisory businesses Proven compliance background with direct experience in platform-based investment businesses In-depth knowledge of UK regulation and FCA expectations for investment platforms and SIPP operators Strong understanding of mutual funds, ETFs, and retail