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- Tasks: Oversee client money reconciliations and ensure compliance with regulations.
- Company: Join Vanguard, a leading investment management company focused on client success.
- Benefits: Enjoy a hybrid working model for flexibility and collaboration.
- Why this job: Be part of a dynamic team driving change and operational excellence in financial services.
- Qualifications: Undergraduate degree and experience in financial services or asset management required.
- Other info: Vanguard does not offer visa sponsorship for this position.
The predicted salary is between 36000 - 60000 £ per year.
Senior Control Administrator page is loaded
Senior Control Administrator
Apply locations Manchester, United Kingdom time type Full time posted on Posted Yesterday time left to apply End Date: August 1, 2025 (13 days left to apply) job requisition id 169094 Join Our Team as a Senior Control Administrator
UKPI Operations Oversight is responsible for ensuring the effective governance of all operational services outsourced to Third Party Providers (TPPs), supporting the smooth day-to-day running of Vanguard’s UK Direct to Consumer (D2C) retail platform.
We are seeking a risk-aware and change-driven Senior Analyst to join our Cash & Assets Oversight Team. This role is ideal for someone who thrives in a fast-paced environment, can manage multiple priorities, and is passionate about identifying and mitigating risk while maintaining operational excellence.
As part of a multi-disciplinary team, your primary focus will be on oversight of client money reconciliation activities, ensuring compliance with regulatory requirements and safeguarding client assets. While experience in trading oversight is also valuable, the emphasis of this role is on maintaining robust controls and governance around client money processes. You will work closely with our Third Party Provider (FNZ) and internal stakeholders to ensure all activities are executed with precision and integrity.
We are looking for someone who is proactive in identifying control gaps, confident in challenging the status quo, and capable of driving meaningful change. You will play a key role in ensuring our oversight controls are robust, effective, and continuously evolving to meet regulatory and operational demands—without compromising the integrity of our core services.
Duties & Responsibilities:
- Oversee client money reconciliations and ensure all transactions with counterparties and internal teams are completed accurately and on time.
- Maintain a strong understanding of the regulations that apply to our products and outsourced services, ensuring compliance at all times.
- Identify, report, and help resolve any risk events or breaches, and assess how oversight processes can be improved to prevent recurrence.
- Take ownership of key procedures and ensure they are kept up to date, clear, and effective.
- Act as a subject matter expert (SME) within the team, supporting both internal colleagues and external service providers.
- Complete daily oversight tasks with precision and attention to detail, ensuring nothing is missed.
- Build strong working relationships with our outsourced operations teams, acting as a key point of contact for queries, escalations, and service improvements.
- Continuously look for ways to strengthen our controls, reduce risk, and improve how we work.
- Support the wider team with complex issues and contribute to maintaining a high standard of service across all activities.
- Review reports and performance data to ensure our service providers are meeting expectations and delivering quality outcomes.
- Get involved in projects and initiatives that help shape the future of our oversight function.
Qualifications and Experience:
- Undergraduate degree or equivalent combination of training and experience required.
- Significant experience in financial services/Asset Management to include Trading, Settlement, and Cash & Assets Reconciliations.
- Proven experience in an oversight or similar operational role preferred.
- Sufficiently detailed working knowledge of relevant industry regulations (i.e. CASS 6,7,8, COBS, SYSC).
- Experience with a D2C retail investment platform highly preferential.
- Knowledge and understanding of internal control theory and practices.
- Proven record of a change/risk mindset and driving outcomes.
- Familiarity with a variety of platform technologies.
- Excellent oral and written communication skills.
- Solid analytical skills and understanding of processes, technology and operational concepts.
- Excellent time management and organizational skills.
- Demonstrated flexibility and ability to adapt to change.
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.
About Us
Vanguard, one of the world\’s largest investment management companies, serves individual investors, institutions, employer-sponsored retirement plans, and financial professionals. We have a diverse and talented crew with a culture that promotes teamwork, along with an unwavering focus on serving our clients\’ best interests.
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Cash & Assets Oversight Specialist employer: The Vanguard Group
Contact Detail:
The Vanguard Group Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Cash & Assets Oversight Specialist
✨Tip Number 1
Familiarise yourself with the specific regulations mentioned in the job description, such as CASS 6, 7, and 8. Understanding these regulations will not only help you in interviews but also demonstrate your commitment to compliance and risk management.
✨Tip Number 2
Network with professionals in the financial services sector, especially those who have experience in oversight roles. Engaging with industry peers can provide insights into the role and may even lead to referrals or recommendations.
✨Tip Number 3
Prepare to discuss your experience with client money reconciliations and any relevant oversight processes you've been involved in. Be ready to share specific examples of how you've identified and mitigated risks in previous roles.
✨Tip Number 4
Showcase your change-driven mindset by thinking of ways to improve existing processes. During interviews, be prepared to suggest innovative ideas that could enhance operational excellence and strengthen controls within the team.
We think you need these skills to ace Cash & Assets Oversight Specialist
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in financial services, particularly in cash and assets reconciliations. Emphasise any oversight roles you've held and your familiarity with industry regulations like CASS and COBS.
Craft a Strong Cover Letter: In your cover letter, express your passion for risk management and operational excellence. Provide specific examples of how you've identified control gaps or driven change in previous roles to demonstrate your proactive approach.
Highlight Relevant Skills: Clearly outline your analytical skills, attention to detail, and ability to manage multiple priorities. Mention your experience with D2C retail investment platforms if applicable, as this is highly preferential for the role.
Showcase Communication Abilities: Since excellent communication skills are essential, include examples of how you've built strong relationships with internal teams and external service providers. This will show your capability to act as a key point of contact and support collaboration.
How to prepare for a job interview at The Vanguard Group
✨Understand Regulatory Requirements
Make sure you have a solid grasp of the regulations relevant to the role, such as CASS and COBS. Being able to discuss these in detail will show your preparedness and understanding of the compliance landscape.
✨Demonstrate Risk Awareness
Prepare examples from your past experience where you've identified and mitigated risks. This will highlight your proactive approach and ability to drive meaningful change, which is crucial for this position.
✨Showcase Your Analytical Skills
Be ready to discuss how you've used analytical skills to improve processes or resolve complex issues. This role requires a keen eye for detail, so demonstrating your analytical mindset will be beneficial.
✨Build Rapport with Stakeholders
Think about how you can establish strong working relationships with both internal teams and external service providers. Share any relevant experiences where you've successfully collaborated with others to achieve common goals.
