Job Title: Transfers Oversight Specialist
Level: Controls Specialist (Mid-Senior Level)
Salary: Competitive + Benefits
Overview:
A leading investment platform is seeking a highly capable Transfers Oversight Specialist to join their operations control function. This role is critical to maintaining a strong governance and control environment across all transfer-related activities on the UK retail investment platform. It combines analytical oversight, regulatory knowledge, and operational process improvement in a collaborative and fast-paced environment.
Key Responsibilities:
* Lead the development and implementation of internal control frameworks around transfer operations.
* Act as a subject matter expert (SME) for all transfer types and platform processes, providing guidance and support to stakeholders.
* Monitor and ensure compliance with regulatory obligations (e.g., FCA, HMRC, tPR) and industry standards (e.g., TeX, STAR).
* Drive process improvements, leveraging data-led tools to enhance governance, automation, and oversight efficiency.
* Collaborate with outsourced operational teams and internal stakeholders to streamline and strengthen processes.
* Oversee platform governance activities, risk events, breach notifications, and assurance tasks with high attention to detail.
* Support internal reporting and audit preparation, and contribute to risk mitigation strategies.
* Deliver internal training and represent the team in meetings and project work.
Ideal Candidate Profile:
* 5+ years’ experience in operational transfers within a UK retail investment platform environment.
* Familiarity with regulatory requirements around tax wrapper transfers (e.g., ISA, SIPP).
* Background in audit or risk management is a plus, but not essential.
* Strong knowledge of internal controls, operational risk, and workflow/process documentation.
* Analytical mindset with excellent data handling skills.
* Skilled in Microsoft Office with the ability to manage multiple priorities effectively.
* Excellent communication and stakeholder management abilities.
Why Apply?
* Join a collaborative and forward-thinking team.
* Be part of an organisation that values innovation and control excellence.
* Access to professional development and growth opportunities.
* Work in a dynamic environment where your impact is visible and valued.