Sales Enablement & Operations – TA Oversight Specialist

Overview:

The Transfer Agency (TA) Oversight Team is responsible for leading all aspects of operational services and activities that have been outsourced to the TA’s in the support of the effective day-to-day operation of Vanguard’s UK and Irish fund ranges. This includes dealing, cash flow reporting, settlements, registration, reconciliations, complaints handling and change management.

We have an exciting opportunity for an Oversight Specialist to join the team. In this role you’ll be assisting with the team’s day to day oversight responsibilities, including ensuring all processes and controls are completed and managing a busy group mailbox. The successful candidate will be able to operate in a fast-paced environment, lead multiple priorities and deliver outcomes with excellence to contribute to the team objectives. You’ll be joining a highly collaborative team who value care, inclusion, curiosity and integrity. Join us and help us protect the assets of millions!

About Vanguard:

Vanguard is an investment company unlike any other. It was founded by Jack Bogle in the US in 1975 on a simple but ground-breaking idea: that an investment company should handle its funds solely in the interests of its clients. Jack helped bring investing to the masses with the index fund. Index funds do not pick individual shares or bonds to beat the market. They supervise the performance of the entire market. Or as Jack put it, “Don’t look for the needle in the haystack. Just buy the haystack!”. We have stood for low-cost, uncomplicated investing ever since. Over the last 45 years people have come round to our way of thinking and more than 30 million investors worldwide now trust us with their money.

Core Responsibilities

As a Sales Enablement & Operations – TA Oversight Specialist, you will;

• Act as a TA Oversight specialist, providing support to the TA’s and other Vanguard business areas as required. You will take ownership of complex queries/issues, escalated complaints and high impact incidents.
• Be responsible for TA Oversight technical support including the provision of critical reporting to support projects, due diligence and audit support, operational resiliency support.
• Ensure that all oversight controls and processes are completed to a high standard and within the required timeframes.
• Manage the TA Oversight mailbox, providing responses and handling queries which have been escalated by internal partners and/or the TA.
• Focus on identifying process improvements/efficiencies presenting proposals to management and lead on the implementation for new propositions.
• Act as a delegate for the TA Oversight Manager at nominated meetings.

What it takes:

• Minimum seven years general experience in financial services / asset management; ideally with 2-3 of those years spent in an oversight or similar operational role preferred.
• Experience overseeing a TA or working at a TA highly preferential.
• Excellent oral and written communication skills.
• Strong analytical skills and understanding of TA processes, technology and operational concepts.
• Strong understanding of FCA rules and regulations eg CASS, COBS, COLL, DISP, SYSC,
• Experience reviewing complex complaint cases.
• A keen interest in operations, fund administration and third-party oversight.

Vanguard’s continued dedication to diversity and inclusion is firmly rooted in our culture. Every decision we make to best serve our clients, crew (internally employees are referred to as crew), and communities is guided by one simple statement: “Do the right thing.”

We believe that a critical aspect of doing the right thing requires building diverse, inclusive, and highly effective teams of individuals who are as unique as the clients they serve. We empower our crew to contribute their distinct strengths to achieving Vanguard’s core purpose through our values.

When all crew members feel valued and included, our ability to collaborate and innovate is amplified, and we are united in delivering on Vanguard’s core purpose.

Our core purpose: To take a stand for all investors, to treat them fairly, and to give them the best chance for investment success.

We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation.

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.

Read Full Description