Regulatory and Pension Oversight, Senior Specialist - 12 month contract

Vanguard Group, Manchester, United Kingdom

Summary

In this role, you will lead the establishment, maintenance, and enhancement of our internal control framework for the Regulatory Governance & Pension Oversight Team. You will act 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: Use data to drive decisions and optimize processes.
• Compliance Champion: Oversee pension-related activities, ensuring compliance with regulations and policies.
• Governance Standards: Maintain governance standards and a strong control environment.
• Problem Solver: Identify and address control gaps, continuously evaluating control effectiveness.

Core Responsibilities

• Develop and lead the internal control framework, identifying, designing, implementing, and testing controls. Address control gaps and improve effectiveness.
• Serve as SME for pension processes and regulatory activities, providing support and advice on audits and risk mitigation.
• Support management reporting and document findings thoroughly.
• Develop data-led control and governance tools to improve oversight efficiency.
• Build relationships with stakeholders, sharing best practices and automating manual processes.
• Oversee regulatory and pension activities via the UKPI retail platform, ensuring accurate and timely processing.
• Stay informed on relevant laws and regulations.
• Assess and notify about risk events and breaches, ensuring controls are effective.
• Manage procedures within the Pensions Oversight Team.
• Oversee platform governance tasks, ensuring documentation and adherence.
• Manage relationships with outsourced teams, resolving issues and improving processes.
• Represent the team in meetings, providing expert advice.
• Support, educate, and train team members.
• Participate in special projects and other duties as assigned.

Qualifications & Experience

• Experience in operational processes within retail investment platforms; audit or risk management experience is a plus.
• Undergraduate degree or equivalent.
• Broad experience in financial services or asset management, preferably with oversight roles.
• Knowledge of relevant regulations (HMRC, FCA, tPR).
• Experience with a D2C retail investment platform.
• Understanding of internal control practices and workflow analysis.
• Strong analytical, communication, and organizational skills.
• Adaptability and flexibility.
• Proficiency with Microsoft Office.

Special Factors

• Vanguard does not offer visa sponsorship for this position.

How We Work

Vanguard has a hybrid working model promoting flexibility, in-person collaboration, and connection, supporting long-term client outcomes and employee experience.

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