Senior Compliance Advisor - Technology, Cybersecurity, Information Security, and AI at Vanguard

Malvern, Pennsylvania, United States

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Not SpecifiedCompensation

Senior (5 to 8 years)Experience Level

Full TimeJob Type

UnknownVisa

Financial Services, TechnologyIndustries

Requirements

Minimum of eight years related work experience in compliance, risk, and/or governance program management, with significant exposure to Technology, Cyber Security, Information Security, and Artificial Intelligence domains
Knowledge of Technology, Cyber Security, Information Security, and Artificial Intelligence regulations, standards, and frameworks
Deep knowledge of AI regulatory developments, including the EU AI Act, U.S. AI policy, etc
Undergraduate degree or equivalent combination of training and experience
Experience in financial services or other highly regulated industries
Ability to thrive in a fast-paced, high-stakes environment while managing competing priorities

Responsibilities

Collaborate with Business, Technology, and Legal stakeholders to evaluate AI/ML use cases for compliance with global regulatory standards
Develop and maintain enterprise compliance documentation for AI systems, including trusted system assessments and business use case reviews
Advise on global regulatory developments (e.g., EU AI Act, U.S. Executive Orders, state laws) and prepare the organization for compliance
Promote an internal “responsible AI” culture, balancing innovation with accountability
Maintain compliance documentation such as reviews of new AI laws and regulations to ensure readiness
Track, manage, and maintain an inventory of regulatory obligations, and advise business partners and corporate functions on required policies and processes
Provide thought leadership on implementing regulations; deliver compliance education and training as needed
Maintain and revise policies and procedures for the compliance program and its related activities
Oversee the design, implementation, execution, and maintenance of new compliance standards
Execute advisory and monitoring activities to assess regulatory posture, document, track, and drive the resolution of compliance issues
Identify and discuss top compliance risks with business management and provide regular reporting on regulatory posture
Proactively drive business ownership of Compliance Issues, including root cause analysis and resolution
Identify and implement corrective action plans for complex compliance issues
Foster a culture of compliance with business line ownership of Compliance Risk
Act as a trusted advisor to senior management on emerging risks and regulatory expectations
Interface with external regulators and clients, as needed

Skills

AI Governance

AI Compliance

Risk Management

Regulatory Compliance

EU AI Act

Cybersecurity

Information Security

AI/ML

Compliance Documentation

Stakeholder Engagement

Responsible AI

Vanguard

Client-owned investment management firm offering low-cost funds

About Vanguard

Vanguard provides financial services with a focus on investment management. The company offers a variety of products, including mutual funds, exchange-traded funds (ETFs), individual retirement accounts (IRAs), and 401k rollovers, aimed at individual investors, financial advisors, and institutions. Vanguard's unique ownership structure means it is owned by its funds, which are in turn owned by the clients, allowing it to prioritize the needs of its investors over external shareholders. This model enables Vanguard to offer low-cost investment options, as it primarily earns revenue through management fees that are generally lower than industry standards. Additionally, Vanguard provides personalized investment advisory services, charging fees based on the assets managed. The company's goal is to help clients grow their wealth and achieve their financial objectives through effective investment strategies, while maintaining a competitive performance track record.

Kline Township, PennsylvaniaHeadquarters

1975Year Founded

SECONDARYCompany Stage

Fintech, Financial ServicesIndustries

10,001+Employees

Benefits

Best-in-class medical, dental & vision coverage

Onsite health clinic & fitness center

Health Smart Rewards program

Vanguard Retirement Savings Plan

Education Benefits

PTO

Family Planning Benefist

Parental leave

Personal development opportunities

Volunteer Time Off

Risks

Competition from AI-driven platforms like Writer challenges Vanguard's traditional advisory services.

Vanguard's stake in Steelcase exposes it to the volatile furniture market.

New active bond ETFs may struggle in a low-yield environment with increasing competition.

Differentiation

Vanguard is client-owned, aligning its interests with investors, unlike traditional firms.

The firm offers low-cost investment products, making it attractive to cost-conscious investors.

Vanguard's ownership structure allows it to focus on long-term investor value.

Upsides

Vanguard's new active bond ETFs offer diversified, low-cost fixed income options.

The acquisition of Steelcase shares diversifies Vanguard's portfolio into the furniture industry.

Launching the International Dividend Growth Fund appeals to investors seeking sustainable dividend growth.

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