Operations and Client Services Manager

September 6, 2019
September 6, 2019
Toronto, ON, CA
Job Requisition #126652

Operations and Client Service Manager, Vanguard Canada

The Operations and Client Services Manager will manage all the operational aspects necessary to support client servicing, recordkeeping administration and Transfer Agency oversight for the Canadian business (primarily for Canadian Pooled funds and Mutual Funds).

Duties & Responsibilities:

  • Ensures that all client inquiries are responded to and that all services are delivered professionally and within defined service levels. Ensures quality of service through crew monitoring and coaching. Reviews complex client requests and escalates when appropriate – provides personal support for key clients working with sales and relationship management. Oversees the timely and accurate processing of all transaction requests, ensures that policies and procedures are documented, maintained and followed and that key business unit indicators are met. Is the primary contact for the call centre (outsourced to external vendor) to discuss any complicated client requests.
  • Leads or provides input on initiatives covering client on-boarding, trade order monitoring, reporting, data, transfer agency oversight, regulatory implementation and communication, SLA development and monitoring. Regular catch-up with local functional manager for leading the support.
  • Identifies and leads projects that will improve the internal work flows and controls framework. Plans and sets goals for the subordinate(s); ensures that projects and ongoing responsibilities of the crew are properly managed, delegated, and controlled. Ensures good communication on projects and initiatives including regular engagement with stakeholders and local functional head.
  • Understands the needs and expectations of sales and clients to ensure that our service model evolves to meet their needs. Recognizes client requirements, client types, and different products as a result of local and regulated regulations.
  • Manages relationships with external services providers and internal shared services (i.e. Sales, Legal & Compliance, Bank Strategy Relationship Management, Data Management, Fund Financial Services, Corporate Financial Services and Investment Management Group). Promotes global teamwork and facilitates communications and coordination amongst various groups.
  • Participates in business risk/issues programs focusing on identifying and mitigating key business risks and building a robust controls framework. Participates in and is responsible for responding to findings or internal compliance, risk and audit reviews.
  • Supports the requirement for team management information including regular updates and metrics. Maintains an appropriate level of Vanguard and industry knowledge; keeps current on Vanguard and policies and objectives; continues to expand knowledge of Institutional and Retail clients’ needs; keeps current on the competition, including types and levels of services offered.
  • Leads/participates in projects and other duties as assigned.

Qualifications:

  • Undergraduate degree or equivalent combination of experience and training.
  • Minimum five years financial services industry, ideally within the Institutional and Retail client environment.
  • Strong foundation of ETFs, Pooled Fund and Mutual Fund industry
  • Operational experience related to transfer agency, custody and fund accounting would be useful.
  • Ability to work independently
  • Ability to interact at all levels of the organization
  • Sound business judgment and decision making skills
  • Excellent relationship management skills.
  • Proven ability to lead a diverse, multi-functional group
  • Effective interpersonal skills and proven ability to develop staff

Special Factors:

Vanguard welcomes and encourages applications from people with disabilities. Accommodations are available on request for candidates taking part in all aspects of the selection process.

September 6, 2019
September 6, 2019
Toronto, ON, CA
Job Requisition #126652

Operations and Client Service Manager, Vanguard Canada

The Operations and Client Services Manager will manage all the operational aspects necessary to support client servicing, recordkeeping administration and Transfer Agency oversight for the Canadian business (primarily for Canadian Pooled funds and Mutual Funds).

Duties & Responsibilities:

  • Ensures that all client inquiries are responded to and that all services are delivered professionally and within defined service levels. Ensures quality of service through crew monitoring and coaching. Reviews complex client requests and escalates when appropriate – provides personal support for key clients working with sales and relationship management. Oversees the timely and accurate processing of all transaction requests, ensures that policies and procedures are documented, maintained and followed and that key business unit indicators are met. Is the primary contact for the call centre (outsourced to external vendor) to discuss any complicated client requests.
  • Leads or provides input on initiatives covering client on-boarding, trade order monitoring, reporting, data, transfer agency oversight, regulatory implementation and communication, SLA development and monitoring. Regular catch-up with local functional manager for leading the support.
  • Identifies and leads projects that will improve the internal work flows and controls framework. Plans and sets goals for the subordinate(s); ensures that projects and ongoing responsibilities of the crew are properly managed, delegated, and controlled. Ensures good communication on projects and initiatives including regular engagement with stakeholders and local functional head.
  • Understands the needs and expectations of sales and clients to ensure that our service model evolves to meet their needs. Recognizes client requirements, client types, and different products as a result of local and regulated regulations.
  • Manages relationships with external services providers and internal shared services (i.e. Sales, Legal & Compliance, Bank Strategy Relationship Management, Data Management, Fund Financial Services, Corporate Financial Services and Investment Management Group). Promotes global teamwork and facilitates communications and coordination amongst various groups.
  • Participates in business risk/issues programs focusing on identifying and mitigating key business risks and building a robust controls framework. Participates in and is responsible for responding to findings or internal compliance, risk and audit reviews.
  • Supports the requirement for team management information including regular updates and metrics. Maintains an appropriate level of Vanguard and industry knowledge; keeps current on Vanguard and policies and objectives; continues to expand knowledge of Institutional and Retail clients’ needs; keeps current on the competition, including types and levels of services offered.
  • Leads/participates in projects and other duties as assigned.

Qualifications:

  • Undergraduate degree or equivalent combination of experience and training.
  • Minimum five years financial services industry, ideally within the Institutional and Retail client environment.
  • Strong foundation of ETFs, Pooled Fund and Mutual Fund industry
  • Operational experience related to transfer agency, custody and fund accounting would be useful.
  • Ability to work independently
  • Ability to interact at all levels of the organization
  • Sound business judgment and decision making skills
  • Excellent relationship management skills.
  • Proven ability to lead a diverse, multi-functional group
  • Effective interpersonal skills and proven ability to develop staff

Special Factors:

Vanguard welcomes and encourages applications from people with disabilities. Accommodations are available on request for candidates taking part in all aspects of the selection process.

Our commitment to equal employment opportunity

Vanguard is an equal opportunity employer. Vanguard is committed to providing all crew members a working environment that is free from discrimination, prejudice and bias. Through this Equal Employment Opportunity (EEO) Policy, Vanguard reaffirms its commitment to equal employment opportunity for all applicants and crew members without regard to race, color, national origin or ancestry, religion, gender, sex, sexual orientation, gender identity or expression, age, disability, marital status, veteran or military status. In addition, Vanguard prohibits discrimination based on genetic information, as well as any other characteristic protected by federal, state or local law.

Applicants with disabilities may be entitled to reasonable accommodation under the Americans with Disabilities Act and certain state or local laws. A reasonable accommodation is a change in the way things are normally done which will ensure an equal employment opportunity without imposing undue hardship on Vanguard. Please inform careers@vanguard.com if you need assistance completing this application or to otherwise participate in the application process.

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