Senior Compliance Advisor - Technology, Cybersecurity, Information Security, and AI ("TCIA")
HybridCharlotte, North Carolina, United States or Malvern, Pennsylvania, United States
Job Summary
Serve as an experienced second-line Compliance advisor for AI-related initiatives, systems, tools, models, and third-party solutions across the enterprise. Provide independent review, oversight, and challenge of AI activities including intake, risk classification, approval, deployment, monitoring, and ongoing governance. Advise business partners on AI laws, regulations, supervisory guidance, enforcement trends, and internal policy requirements while evaluating proposed use cases for fairness, transparency, privacy, and data usage. Partner with technology, risk, privacy, legal, and cybersecurity stakeholders to identify, assess, and mitigate compliance risks. Support the design and maintenance of AI compliance policies, standards, procedures, controls, and program documentation. Monitor emerging regulatory developments and translate requirements into practical business guidance, job aids, and training content. Review incidents, escalations, audit findings, and control gaps to provide guidance on corrective action plans. Prepare materials for management committees, risk committees, governance forums, regulatory examinations, and senior leadership updates.
Required Qualifications
- Bachelor's degree or equivalent combination of training and experience
- 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
- Sponsorship: Vanguard is not offering visa sponsorship for this position
Desired 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
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