Job Description

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.
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 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

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.