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Join Our Team as a Transfers Oversight Specialist
Are you ready to make a significant impact in a dynamic and fast-paced environment? We are looking for a talented individual to join our Transfers Oversight Team, leading the establishment, maintenance, and enhancement of our internal control framework.
What You'll Do:
• Lead with Excellence: Manage multiple priorities and lead cross-functional initiatives to achieve team objectives.
• Data-Driven Insights: Leverage data to drive decisions and optimize processes.
• Compliance Champion: Oversee all transfer-related activities, ensuring strict compliance with regulations and internal policies.
• Governance Standards: Uphold governance standards and maintain a robust control environment.
• Proactive Problem Solver: Identify and address control gaps, continuously questioning the effectiveness of all controls.
Why You'll Love Working Here:
• Collaborative Environment: Work with a supportive and talented team.
• Growth Opportunities: Develop your skills and advance your career.
• Impactful Work: Make a real difference in our organization and industry.
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 transfer types and processes 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. Working with outsourced partners to strengthen and streamline process design and automate manual elements of the operation.
- Accountable for oversight of transfer activities for all products available through the UKPI retail platform, ensuring timely and accurate processing as well as adherence to industry standard reporting (TeX, STAR).
- Maintains knowledge of relevant laws and regulations for transfer activities.
- Notifies and assesses risk events and breaches, ensuring oversight controls are effective.
- Accountable for procedures within the Transfers 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 Transfers Oversight team in internal and external meetings.
- Provides education and training to crew.
- Participates in special projects and other duties as assigned.
Qualifications & Experience
- Minimum of 5 years related work experience relating to transfer 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.
- In-depth working knowledge of relevant industry regulations (i.e., HMRC, FCA, tPR, etc.) relating to the transfer of tax wrappers.
- Knowledge and understanding of internal control theory and practices; experience in workflow analysis and documentation.
- Solid analytical and data manipulation skills and understanding of processes, technology, and operational concepts.
- Excellent oral and written communication skills and time management/organisational 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.
