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Vanguard · 1 month ago

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

Charlotte, NC

Full-time

Hybrid

Senior Level, Lead/Staff

8+ years exp

Vanguard is a leading investment management company focused on the long-term financial wellbeing of its clients. The Senior Compliance Advisor will leverage expertise in AI governance and compliance to lead compliance programs and initiatives, ensuring alignment with global regulations and fostering a culture of compliance within the organization.

FinanceFinancial Services

No H1B

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

Qualification

AI governanceCompliance program managementCybersecurity regulationsInformation security standardsRisk management strategiesFinancial services experienceStakeholder engagementRegulatory compliancePolicy developmentTrainingEducation

Required

Minimum of eight years related work experience 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