Transfer Agent & AML specialist working on regulatory and discretionary change.
The Transfer Agency (TA) Oversight Team is responsible for leading all aspects of operational services and activities outsourced to the TAs, supporting 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 assist with the team's daily oversight responsibilities and take ownership of the change management and implementation process. The successful candidate will operate in a fast-paced environment, manage multiple priorities, and deliver outcomes to contribute to team objectives.
In this role, you will:
1. Be responsible for all TA and AML related changes, 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. Represent the team in project calls and communicate with all internal stakeholders.
2. Track and monitor change-related costs, challenging where appropriate.
3. Manage new processes from initial discussions and data gathering to governance reviews, suitability studies, and creating procedures and training for team members.
4. Conduct regular governance reviews of the team's tasks, procedures, and controls to ensure effectiveness and compliance, implementing changes based on findings.
5. Attend relevant TA and industry forums to stay informed about upcoming changes and regulations in the UK and Irish markets, representing Vanguard and presenting as needed.
6. Identify process improvements and efficiencies, presenting change proposals to management.
7. Assist in incident management, including investigation, communication, escalation, and remediation.
8. Support the administration of the team mailbox, responding to and handling escalated complex queries.
9. Record and investigate risk events, breaches, and complaints.
10. Support daily team responsibilities, handle complex requests, and review service provider metrics to maintain reputation.
11. Participate in special projects and perform other duties as assigned.
What it takes:
* Undergraduate degree or equivalent experience.
* Minimum five years in financial services or asset management, with 2-3 years in transfer agency change/projects or similar operations preferred.
* Experience overseeing or working at a TA highly preferred.
* Experience managing TA-related change.
* Knowledge of Irish funds and CBI regulations preferred.
* Excellent communication skills.
* Strong Excel skills.
* Organizational skills, initiative, planning, and self-motivation.
* Analytical skills and understanding of TA processes, technology, and operations.
How We Work
Vanguard has adopted a hybrid working model to combine flexibility with in-person collaboration and learning. Our mission-driven, collaborative culture supports long-term client outcomes and enriches the employee experience.
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