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Vanguard
,
London, Greater London
European Operations - Oversight Analyst
Overview
Job Description
To join the Platform Oversight team, assisting with the team's responsibility to ensure the compliance of platform service provider business activities with all applicable regulatory and policy guidelines. Pro-actively identify and remediate control gaps and ensure that controls are designed and operating effectively. Initially this role will be concentrating on supporting the launch of a new product, focusing on the manual processing of deals and cash movements. The successful applicant will expected to complete volumes of deals to a high level of accuracy and within set deadlines and to support the automation and integration of the processes and associated controls into the broader Platform Oversight team. Primary Duties and Responsibilities * Support product launch, including but not limited to the below: * Designing, testing, and developing processes and controls. * Attending workshops and documenting updates to controls. * High volumes of data input, requiring exceptional levels of accuracy within tight timescales. * Escalating any issues identified with process or instruction and supporting timely resolution. Other Duties and Responsibilities * Administration of the Platform Oversight mailbox, providing responses where possible and escalating relevant items to team seniors or Manager. * Timely completion of daily control checklist tasks with a high level of attention to detail. Tasks include, but are not limited to: * Reviewing client money bank account positions. * Validating timely trade aggregation. * Checking Internal Client Money Reconciliations, External Client Money Reconciliations and Asset Reconciliations. * Ensuring that Distributions and Dividends have been applied in a timely manner. * Managing the day-to-day relationship between Vanguard and our outsourced service providers; acting as a point of escalation, both internally and externally, for any queries or high priority issues, analysing and resolving where necessary. * Providing assistance with recording and investigating Risk Events and breaches. * Remain continually aware for opportunities to improve the team's oversight and controls. * Creation and revision of procedures relating to processes undertaken by the Platform Oversight team. * Supporting the Platform Oversight team, with day-to-day responsibilities and complex requests, maintaining the team's reputation both internally and externally. * Evaluating relevant reports and service metrics from the outsourced service providers to ensure Vanguard's service standards are being met. * When required, represent the Platform Oversight team by attending scheduled and ad-hoc internal and external meetings. * Participating in special projects and performs other related duties as assigned. Qualifications and Experience * Undergraduate degree (Business) or equivalent combination of training and experience required. * Minimum five years general experience industry experience preferred. * Knowledge of various business segments within retail and platform. Familiar with regulatory requirements for those businesses. * Knowledge and understanding of internal control theory and practices. * Experience in workflow analysis and documentation. * Familiarity with a variety of platform technologies. * Excellent oral and written communication skills. * Solid analytical skills and understanding of processes, technology and operational concepts. * Excellent time management and organizational skills. * Demonstrated flexibility and ability to adapt to change. * Strong proficiency with Microsoft Office applications. Previous manual dealing experience advantageous. Special Factors Vanguard is not offering visa sponsorship for this position. Crew holding FINRA licenses may be permitted to retain them.