Head of Regulatory and Pension Oversight

7 days ago

London, Greater London, United Kingdom Vanguard Full time

We have an exciting opportunity for an experienced leader with strong operational knowledge (particularly in Self-Invested Pension Products and in the retail investment industry).

You would be joining a team of oversight leaders responsible for the oversight of outsourced operations for our fast growing investment platform.

Supporting the Head of Operations Oversight, you will be responsible for making sure that we have the right controls and oversight in place to protect our clients assets and keep our business safe.

And by helping to develop our operational strategy, you will play a critical role in growing our Vanguard Personal Investor platform, whilst supporting our clients through all life moments and in achieving their investment goals.


Your leadership responsibilities will also include talent development, through mentoring and coaching members of the team, and effective allocation of resource to meet changing requirements of the business.


Key duties:

  • Hires, evaluates, and supervises crew. Provides guidance and training as necessary to develop crew. Sets performance standards, reviews performance, and makes informed compensation decisions in accordance with all applicable Human Resources policies and procedures.
  • Supports the Head of Operations Oversight in running and improving the effectiveness of the oversight function, and delivers change in response to regulatory updates and business initiatives.
  • Leads and manages control projects with broad scope and complexity across regulated activities. Leads the development and implementation of the internal control framework and leads control identification, design, implementation, and testing. Recommends and implements actions to increase effectiveness.
  • Serves as escalation point for the team in providing highlevel consultation, facilitation and analytical support on complex controlrelated issues, and ensures internal controls are properly aligned and implemented. Provides expert consulting to the business on internal and external audit activities and results and manages risk mitigation initiatives in response to audit findings.
  • Leads the development and distribution of management reporting data. Leads and maintains the documentation of findings and maintains reporting results. Leads development, implementation, and maintenance of monthly dashboards and management reports.
  • Builds strong working relationships with key internal and external stakeholders. Collaborates with the department and management sharing best practices regarding key controls to influence control solutions.
  • Represents Vanguard externally at industry forums and working committees.
  • Builds and maintains awareness of risk and control topics. Seeks to understand broad industry and Vanguard trends regarding risk and control and determines applicability to the operation.
  • Participates in special projects and performs other duties as assigned.

Competencies -

  • Strong knowledge of governance structures and required regulatory oversight, implicit in the regulatory environment and draws on this knowledge to improve operations
  • Good understating of transfer processing and experience in improving operational performance
  • Ability to understand, interpret and confidently communicate regulatory rules. Also to actively engage, lead and deliver improvements to ensure appropriate controls in line with the regulations.
  • Aptitude in understanding business strategy, the customer base, products and services as well as relevant industry issues, frameworks and emerging risks for the business.
  • Strong stakeholder management and demonstrates good communication and organisational skills.

Professional qualifications
Level - Certificate in Financial Services - Chartered Insurance Institute (CII), or

Level - Investment Operations Certificate (IOC) - Chartered Institute for Securities & Investment (CISI), or

Level - Certificate in Pensions Administration - Pensions Management Institute (PMI)

Key skills / experience

  • Minimum of 5 years experience working within a SIPP operation and/or investment operations
  • Proven experience in delivering regulatory change, managing team/s and implementing control frameworks
  • Minimum of 5 years people leadership experience
  • Experience working within the administration function in an adviser firm or platform desired
  • Strong experience in working with an outsourced provider

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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