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Senior Compliance Advisor in Malvern, PA, focusing on AI governance, risk and regulatory compliance across Vanguard.
Lead second-line compliance advisory, shaping AI policies, training and oversight in a hybrid environment.
Summary
The AI Senior Compliance Advisor will be a key member of the growing Enterprise Compliance and Governance (EC&G) Compliance Team, serving as an experienced second-line Compliance advisor responsible for advisory support for Artificial Intelligence (“AI”) across Vanguard. This role will help ensure AI-enabled activities are developed, deployed, monitored, and governed in a manner consistent with applicable laws, regulations, supervisory expectations, industry standards, and internal policies.Job Responsibilities
- Serve as an experienced Compliance advisor for AI-related initiatives, systems, tools, models, third-party solutions, and use cases across the enterprise.
- Provide independent second-line review, oversight, and challenge of AI activities, including intake, risk classification, approval, deployment, monitoring, and ongoing governance processes.
- Advise business partners on AI-related laws, regulations, supervisory guidance, enforcement trends, industry standards, and internal policy requirements.
- Partner with business, technology, risk, privacy, legal, cybersecurity, data governance, and model risk stakeholders to identify, assess, and mitigate AI compliance risks.
- Evaluate proposed AI use cases for compliance considerations, including fairness, transparency, explainability, privacy, data usage, consumer protection, conflicts, recordkeeping, and governance obligations.
- Support the design, implementation, execution, and maintenance of AI compliance policies, standards, procedures, controls, and program documentation.
- Monitor emerging AI regulatory developments and assess applicability, impact, and required actions for Vanguard’s business activities.
- Translate AI regulatory requirements and compliance expectations into practical business guidance, job aids, training content, and actionable implementation plans.
- Support AI-related risk assessments, compliance reviews, monitoring activities, testing plans, issue identification, and remediation efforts.
- Review AI-related incidents, escalations, complaints, audit findings, regulatory inquiries, and control gaps; provide guidance on corrective action plans and risk mitigation.
- Prepare materials and reporting for management committees, risk committees, governance forums, regulatory examinations, audits, and senior leadership updates.
- Identify thematic AI compliance risks, emerging trends, and opportunities to strengthen the AI Compliance Program and broader enterprise governance framework.
- Promote a culture of responsible AI usage by supporting awareness, education, and consistent application of compliance expectations across the organization.
- Participate in special projects and perform other duties as assigned.
Qualifications
Bachelor’s degree or equivalent combination of training and experience required. Minimum of five years of experience in compliance, risk management, legal, regulatory affairs, technology risk, model risk, privacy, data governance, or a related control function. Demonstrated experience advising business partners on regulatory, compliance, or risk management matters in a complex organization. Strong understanding of compliance program elements, including regulatory change management, obligation mapping, risk assessments, controls, monitoring, testing, issue management, governance, and reporting. Knowledge of AI, data, technology, privacy, model governance, or automated decision-making risks and related control considerations. Ability to analyze complex laws, regulations, guidance, and industry developments and translate them into clear, practical business requirements. Strong written and verbal communication skills, including the ability to prepare executive-ready materials and communicate effectively with technical and non-technical stakeholders. Strong judgment, critical thinking, attention to detail, and ability to provide credible challenge while maintaining collaborative working relationships. Ability to manage multiple priorities, navigate ambiguity, and drive work forward in a fast-paced, evolving regulatory environment.Preferred Qualifications
- Experience in financial services, asset management, investment management, or another highly regulated industry.
- Familiarity with AI governance frameworks, responsible AI principles, model risk management, data governance, privacy requirements, cybersecurity considerations, and technology risk management practices.
- Knowledge of emerging AI regulatory developments, including the EU AI Act, U.S. federal and state AI policy, automated decision-making requirements, consumer protection expectations, and supervisory guidance relevant to financial services.
- Experience supporting or operationalizing enterprise compliance, risk, governance, or regulatory change programs.
- Experience participating in governance forums, risk committees, regulatory examinations, audits, or senior leadership reporting.
- Ability to influence across teams, build trusted relationships, and provide clear guidance in areas where regulatory expectations continue to evolve.
- Professional certification or advanced degree in compliance, law, risk management, privacy, technology, data governance, or a related discipline.