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 seamless daily functioning of Vanguard's UK and Irish fund offerings. This encompasses dealing, cash flow reporting, settlements, registration, reconciliations, complaint resolution, and change management.

We are thrilled to present an opportunity for a TA Oversight Operations Specialist to join our team. In this capacity, you will assist with the team's daily oversight duties, ensuring that all processes and controls are executed proficiently while managing a busy group mailbox. The ideal candidate will thrive in a dynamic environment, juggle multiple priorities, and deliver exceptional results that align with 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 championed low-cost, straightforward investing for over 45 years, earning the trust of more than 30 million investors globally.

Key Responsibilities:

  • Serve as a TA Oversight Operations Specialist, providing essential support to the TA and other Vanguard business areas as necessary. You will manage complex inquiries, escalated complaints, and significant incidents.
  • Be accountable for technical support related to TA Oversight, 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 established timelines.
  • Oversee the TA Oversight mailbox, addressing inquiries and managing escalated issues from internal partners and/or the TA.
  • Concentrate 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.
  • In-depth 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 committed to fostering diversity and inclusion within our culture. Every decision we make to serve our clients, crew, and communities is guided by the principle of doing the right thing.

We believe that a vital aspect of doing the right thing involves building diverse, inclusive, and highly effective teams that reflect the uniqueness of the clients we serve. We empower our crew to leverage their distinct strengths to achieve Vanguard's core purpose through our values.

When all crew members feel valued and included, our capacity to collaborate and innovate is enhanced, uniting us in fulfilling Vanguard's core mission.

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

We ensure 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 request accommodations.

Work Environment:

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

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