Transfer Agent & AML specialist working on regulatory and discretional change
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 a TA & AML Oversight Change Specialist to join the team. In this role you'll be assisting with the team's day to day oversight responsibilities in addition to taking ownership of the change management and implementation process. 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.
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In this role, you will:
- Have day to day responsibility for all TA and AML related change from regulatory projects such as consumer duty, CASS and Vulnerable customers to discretionary items like fund launches, service improvements and internal projects impacting our Transfer Agencies. Representing the team in project calls and managing communication with all internal stakeholders.
- Track and monitor all change related costs, challenging where appropriate.
- Be responsible for taking on new processes within the team from initial conversations and data gathering to completing governance reviews and suitability studies before creating procedures and comprehensive training sessions to all team members.
- Perform regular governance reviews of the teams' tasks / procedures / controls and their frequency to ensure they are operating effectively, ethically and in accordance with established rules and regulations - making and rolling out changes from any findings.
- Attend relevant TA and industry forums to stay up to speed with upcoming change and regulatory position across the UK and Irish markets representing the Vanguard stance and presenting when required.
- Identifying process improvements / efficiencies and presenting change proposals to management.
- Assist in incident management, including but not limited to: investigation, communication, escalation and remediation.
- Provide support for the administration of the team mailbox, providing responses and handling complex queries which have been escalated by internal partners and/or the TA.
- Provide assistance with recording and investigating Risk Events, breaches and complaints.
- Support team, with day-to-day responsibilities, complex requests and review of service provider metrics while maintaining the team's reputation both internally and externally.
- Participate in special projects and perform other related duties as assigned.
What it takes:
- Undergraduate degree or equivalent combination of training and experience required.
- Minimum five years general experience in financial services / asset management; ideally with 2-3 of those years spent in transfer agency change / projects or a similar operational role preferred.
- Experience overseeing a TA or working at a TA highly preferential.
- Experience managing and delivering TA related change.
- Experience of Irish funds and the CBI regulations preferential.
- Excellent oral and written communication skills.
- Strong excel skills.
- Strong organisational skills and a strong ability to work under own initiative, planning your own day and self-motivating.
- Strong analytical skills and understanding of TA processes, technology and operational concepts.
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.