TA Oversight Operations Specialist

3 weeks ago

London, Greater London, United Kingdom Vanguard Full time

Position Overview:

The Transfer Agency (TA) Oversight Team plays a crucial role in managing all facets of operational services and activities that have been delegated to the TA, ensuring the smooth daily functioning of Vanguard's UK and Irish fund offerings. This encompasses dealing, cash flow analysis, settlements, registration, reconciliations, complaint resolution, and change management.

We are thrilled to present an opportunity for a TA Oversight Operations Specialist to join our dynamic team. In this position, you will assist with the team's daily oversight duties, ensuring that all processes and controls are executed efficiently while managing a busy group mailbox. The ideal candidate will thrive in a fast-paced environment, adeptly juggling multiple priorities and delivering exceptional results to support team objectives. You will become part of a highly collaborative team that values care, inclusion, curiosity, and integrity. Join us in safeguarding the assets of millions.

About Vanguard:

Vanguard is a unique investment firm established by Jack Bogle in the US in 1975, founded on the revolutionary principle that an investment company should operate solely in the interests of its clients. Jack democratized investing with the introduction of the index fund, which tracks the performance of the entire market rather than attempting to outperform it. We have consistently championed low-cost, straightforward investing, earning the trust of over 30 million investors globally.

Key Responsibilities:

  • Serve as a TA Oversight Operations Specialist, providing essential support to the TAs and other Vanguard business units as necessary. You will manage complex inquiries, escalated complaints, and significant incidents.
  • Oversee TA Oversight technical support, including delivering critical reporting to facilitate projects, due diligence, audit support, and operational resilience.
  • Ensure that all oversight controls and processes are executed to a high standard and within designated timeframes.
  • Manage the TA Oversight mailbox, responding to and addressing queries escalated by internal partners and/or the TA.
  • Focus on identifying process enhancements and efficiencies, presenting proposals to management, and leading the implementation of new initiatives.
  • Act as a representative for the TA Oversight Manager in designated meetings.

Qualifications:

  • A minimum of seven years of experience in financial services or asset management, with 2-3 years in an oversight or similar operational role preferred.
  • Experience in overseeing a TA or working within a TA is highly desirable.
  • Exceptional oral and written communication skills.
  • Strong analytical abilities and a solid understanding of TA processes, technology, and operational concepts.
  • Comprehensive knowledge of FCA regulations, including CASS, COBS, COLL, DISP, and SYSC.
  • Experience in reviewing complex complaint cases.
  • A genuine interest in operations, fund administration, and third-party oversight.

Vanguard is deeply committed to diversity and inclusion, which is integral to our culture. Every decision we make is guided by the principle of doing the right thing for our clients, crew, and communities.

We believe that fostering diverse, inclusive, and highly effective teams is essential to serving our clients effectively. We empower our crew to leverage their unique strengths to fulfill Vanguard's core mission through our values.

When all crew members feel valued and included, our capacity to collaborate and innovate is enhanced, allowing us to deliver on Vanguard's core purpose.

Our Core Purpose: To advocate for all investors, treat them fairly, and provide them with the best opportunity for investment success.

We are committed to ensuring that individuals with disabilities receive reasonable accommodations to participate in the job application or interview process, perform essential job functions, and enjoy other employment benefits. Please reach out to us to request accommodations.

Work Environment:

Vanguard has adopted a hybrid working model for most of our crew members, designed to balance the benefits of flexibility with opportunities for in-person learning, collaboration, and connection. We believe that our mission-driven and collaborative culture is vital for achieving long-term client outcomes and enhancing the employee experience.

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