Transfers Oversight, Specialist
Vanguard
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, assisting with the establishment, maintenance, and enhancement of our internal control framework.
What You'll Do:• Deliver Outcomes: Manage multiple priorities and participate in cross-functional initiatives to meet team objectives.• Data-Driven Insights: Leverage data to drive decisions and optimise 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 within a supportive and talented team.• Growth Opportunities: Develop your skills and advance your career.• Impactful Work: Make a real difference in our organisation and industry.
Core Responsibilities:• Operates within 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.• Demonstrates 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.• Assesses continued effectiveness of internal and external 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 to crew.• Participates in special projects and other duties as assigned.
Qualifications & Experience:• Significant related work experience relating to transfer 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.• 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.
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.