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 You'll 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:
* Extensive experience relating to operational process within the retail investment platform space. One year 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 2-3 of those years 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.
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.