Regulatory and Pension Oversight, Senior Specialist - 12 month contract | Manchester, UK

Vanguard Group; Manchester; Hybrid; GBP 45,000 - 65,000; Full time

Job summary

A leading financial services firm in Manchester is seeking a Senior Specialist to lead the establishment and enhancement of the internal control framework for the Regulatory Governance & Pension Oversight Team. The ideal candidate will have strong experience in operational processes within retail investment platforms and regulatory compliance, with excellent analytical and communication skills. This role promotes a hybrid working model, offering flexibility and collaboration.

Qualifications

• Experience in operational processes within retail investment platforms.
• Audit or risk management experience is a plus.
• Broad experience in financial services or asset management.

Responsibilities

• Lead the establishment of the internal control framework.
• Serve as SME for pension processes and regulatory activities.
• Oversee pension-related activities ensuring compliance with regulations.

Skills

Operational processes

Regulatory compliance

Analytical skills

Communication skills

Organizational skills

Microsoft Office proficiency

Education

Undergraduate degree or equivalent

Job description

Regulatory and Pension Oversight, Senior Specialist - 12 month contract

Vanguard Group, Manchester, United Kingdom

Summary

In this role, you will lead the establishment, maintenance, and enhancement of our internal control framework for the Regulatory Governance & Pension Oversight Team. You will act as SME across all regulatory governance and pension-related activities and controls.

What You'll Do:

• Lead with Excellence: Manage multiple priorities and lead cross-functional initiatives/projects to achieve team objectives.
• Data-Driven Insights: Use data to drive decisions and optimize processes.
• Compliance Champion: Oversee pension-related activities, ensuring compliance with regulations and policies.
• Governance Standards: Maintain governance standards and a strong control environment.
• Problem Solver: Identify and address control gaps, continuously evaluating control effectiveness.

Core Responsibilities

• Develop and lead the internal control framework, identifying, designing, implementing, and testing controls. Address control gaps and improve effectiveness.
• Serve as SME for pension processes and regulatory activities, providing support and advice on audits and risk mitigation.
• Support management reporting and document findings thoroughly.
• Develop data-led control and governance tools to improve oversight efficiency.
• Build relationships with stakeholders, sharing best practices and automating manual processes.
• Oversee regulatory and pension activities via the UKPI retail platform, ensuring accurate and timely processing.
• Stay informed on relevant laws and regulations.
• Assess and notify about risk events and breaches, ensuring controls are effective.
• Manage procedures within the Pensions Oversight Team.
• Oversee platform governance tasks, ensuring documentation and adherence.
• Manage relationships with outsourced teams, resolving issues and improving processes.
• Represent the team in meetings, providing expert advice.
• Support, educate, and train team members.
• Participate in special projects and other duties as assigned.

Qualifications & Experience

• Experience in operational processes within retail investment platforms; audit or risk management experience is a plus.
• Undergraduate degree or equivalent.
• Broad experience in financial services or asset management, preferably with oversight roles.
• Knowledge of relevant regulations (HMRC, FCA, tPR).
• Experience with a D2C retail investment platform.
• Understanding of internal control practices and workflow analysis.
• Strong analytical, communication, and organizational skills.
• Adaptability and flexibility.
• Proficiency with Microsoft Office.

Special Factors

• Vanguard does not offer visa sponsorship for this position.

How We Work

Vanguard has a hybrid working model promoting flexibility, in-person collaboration, and connection, supporting long-term client outcomes and employee experience.

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