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- Tasks: Lead the development of internal controls for regulatory governance and pension oversight.
- Company: Vanguard is a leading investment management company focused on client success.
- Benefits: Enjoy a hybrid working model with flexibility and collaboration opportunities.
- Why this job: Make a real impact in financial services while enhancing your skills in a supportive environment.
- Qualifications: Experience in operational processes, preferably in financial services; degree or equivalent experience required.
- Other info: This is a 12-month contract role based in Manchester.
The predicted salary is between 36000 - 60000 £ per year.
Regulatory and Pension Oversight, Senior Specialist – 12 month contract
Vanguard Manchester, England, United Kingdom
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Regulatory and Pension Oversight, Senior Specialist – 12 month contract
Vanguard Manchester, England, United Kingdom
1 day ago Be among the first 25 applicants
Join to apply for the Regulatory and Pension Oversight, Senior Specialist – 12 month contract role at Vanguard
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.
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Regulatory and Pension Oversight, Senior Specialist - 12 month contract employer: Vanguard
Contact Detail:
Vanguard Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Regulatory and Pension Oversight, Senior Specialist - 12 month contract
✨Tip Number 1
Familiarise yourself with the key regulations and compliance standards relevant to the role, such as those from HMRC, FCA, and tPR. This knowledge will not only help you in interviews but also demonstrate your commitment to staying updated in the field.
✨Tip Number 2
Network with professionals in the regulatory and pension oversight space. Attend industry events or join relevant online forums to connect with others who can provide insights or even refer you to opportunities at Vanguard.
✨Tip Number 3
Prepare to discuss specific examples of how you've identified and remedied control gaps in previous roles. Being able to articulate your problem-solving skills will set you apart as a candidate who can lead initiatives effectively.
✨Tip Number 4
Showcase your analytical skills by being ready to discuss how you've used data to drive decisions in past positions. Highlighting your ability to leverage data for process optimisation will resonate well with the expectations of this role.
We think you need these skills to ace Regulatory and Pension Oversight, Senior Specialist - 12 month contract
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in regulatory governance and pension oversight. Use specific examples that demonstrate your ability to manage compliance and internal controls.
Craft a Compelling Cover Letter: In your cover letter, express your enthusiasm for the role and explain how your background aligns with Vanguard's mission. Mention your understanding of relevant regulations and your experience in financial services.
Showcase Analytical Skills: Emphasise your analytical skills in both your CV and cover letter. Provide examples of how you've used data-driven insights to improve processes or address control gaps in previous roles.
Highlight Communication Abilities: Since the role requires strong communication skills, include examples of how you've effectively communicated complex regulatory information to stakeholders or team members in the past.
How to prepare for a job interview at Vanguard
✨Understand Regulatory Frameworks
Familiarise yourself with the key regulations relevant to the role, such as those from HMRC, FCA, and tPR. Being able to discuss these frameworks confidently will demonstrate your expertise and readiness for the position.
✨Showcase Analytical Skills
Prepare examples of how you've used data-driven insights to optimise processes in previous roles. Highlighting your analytical skills will show that you can effectively manage compliance and governance standards.
✨Demonstrate Problem-Solving Abilities
Be ready to discuss specific instances where you've identified control gaps and implemented solutions. This will illustrate your initiative-taking problem-solving approach, which is crucial for this role.
✨Build Rapport with Stakeholders
Think about how you've successfully built relationships with stakeholders in the past. Sharing these experiences will highlight your ability to collaborate and communicate effectively, which is essential for the position.
