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

• Develop and lead the internal control framework, identifying, designing, implementing, and testing controls. Remedy control gaps and enhance effectiveness.
• Act as SME for pension processes and governance/regulatory activities across the business, providing consultation and analytical support. Advise on audit activities and risk mitigation.
• Support management reporting, thoroughly documenting findings.
• Develop and implement data-led control and governance tools to make oversight more efficient.
• Build strong relationships with stakeholders, sharing best practices and communicating control solutions. Collaborate with outsourced partners to strengthen and streamline process design and automate manual elements.
• Oversee regulatory and pension activities through the UKPI retail platform, ensuring timely and accurate processing.
• Maintain knowledge of relevant laws and regulations for pension and other tax wrappers.
• Notify and assess risk events and breaches, ensuring oversight controls are effective.
• Manage procedures within the Pensions Oversight Team.
• Oversee platform governance tasks within required timeframes; document control adherence and assurance tasks with high attention to detail.
• Manage relationships with outsourced technical operations teams, resolving issues and improving processes.
• Represent the Regulatory & Pension Oversight Team in meetings, providing expert advice for developments.
• Provide support, education, and training to team members.
• Participate in special projects and other duties as assigned.

Qualifications & Experience

• Significant experience in operational processes within retail investment platforms. Experience in audit or risk management is desirable.
• Undergraduate degree or equivalent experience.
• Extensive experience in financial services/asset management, especially in oversight roles.
• Knowledge of relevant regulations (HMRC, FCA, tPR, etc.).
• Experience with a D2C retail investment platform.
• Understanding of internal control theory, workflow analysis, and documentation.
• Strong analytical skills, process understanding, and operational concepts.
• Excellent communication and organizational skills.
• Flexibility and adaptability to change.
• Proficiency with Microsoft Office.

Special Factors

• Vanguard does not offer visa sponsorship for this position.

How We Work

Vanguard employs a hybrid working model, balancing flexibility with in-person collaboration and learning. Our culture emphasizes mission-driven, collaborative work to support client outcomes and enrich employee experience.