Summary
In this role you will be leading the establishment maintenance and enhancement of our internal control framework for the Regulatory Governance & Pension Oversight Team acting as SME across all regulatory governance and pension-related activities and controls.
What Youll Do:
- Lead with Excellence:Manage multiple priorities and lead cross-functional initiatives/projects to achieve team objectives.
- Data-Driven Insights:Leverage data to drive decisions and optimize processes.
- Compliance Champion:Oversee all pension-related activities ensuring strict compliance with regulations and internal policies.
- Governance Standards:Uphold governance standards and maintain a robust control environment.
- Initiative-taking Problem Solver:Identify and address control gaps continuously questioning the effectiveness of all controls.
Core Responsibilities
- Develops and leads the internal control framework identifying designing implementing and testing controls. Remedies control gaps and enhances effectiveness.
- Acts as SME for pension processes and governance/regulatory activities across the business providing consultation and analytical support. Advises on audit activities and risk mitigation.
- Supports management reporting thoroughly documenting findings.
- Looking to develop and implement data-led control and governance tools that make oversight as efficient as possible.
- Builds strong relationships with stakeholders sharing best practices and communicating control solutions. Collaborating with outsourced partners to strengthen and streamline process design and automate manual elements of the operation.
- Accountable for oversight of regulatory and pension activities through the UKPI retail platform ensuring timely and accurate processing.
- Maintains knowledge of relevant laws and regulations for pension and other relevant tax wrappers.
- Notifies and assesses risk events and breaches ensuring oversight controls are effective.
- Accountable for procedures within the Pensions Oversight Team.
- Oversees platform governance tasks within required timeframes; documents control adherence and assurance tasks with high attention to detail.
- Manages relationships with outsourced technical operations teams resolving issues and improving processes.
- Represents the Regulatory & Pension Oversight Team in internal and external meetings providing expert advice for propositional developments.
- Provides support education and training to crew.
- Participates in special projects and other duties as assigned.
Qualifications & Experience
- Significant work experience relating to operational process within the retail investment platform space. Proven experience in audit or a risk-management-based function desirable but not essential.
- Undergraduate degree or equivalent combination of training and experience.
- Extensive broad experience in financial services / asset management; ideally with proven time spent in an oversight or similar operational role.
- In depth working knowledge of relevant industry regulations (i.e. HMRC FCA tPR etc.)
- Prior experience with a D2C retail investment platform.
- Knowledge and understanding of internal control theory and practices; experience in workflow analysis and documentation.
- Solid analytical skills and understanding of processes technology and operational concepts.
- Excellent oral and written communication skills and time management/organizational skills.
- Demonstrated flexibility and ability to adapt to change.
- Strong proficiency with Microsoft Office applications.
Special Factors
- Vanguard is not offering visa sponsorship for this position.
How We Work
Vanguard has implemented a hybrid working model for the majority of our crew members designed to capture the benefits of enhanced flexibility while enabling in-person learning collaboration and connection. We believe our mission-driven and highly collaborative culture is a critical enabler to support long-term client outcomes and enrich the employee experience.
Required Experience:
Senior IC