UK Personal Investor Controls Specialist

Vanguard’s core purpose is to take a stand for all investors, to treat them fairly, and to give them the best chance for investment success. In support of our innovative, multi-faceted and highly regulated business lines, you will be working within the Business Assurance and Controls Team, supporting to drive effective risk and control management across our UK Personal Investor business.

We partner with and support business areas across UK Personal Investor to supervise their risk and control environment and help them develop strategies and action plans to reduce and prevent risk. The Business Assurance & Controls Specialist works with Vanguard’s operational teams, outsourced providers and senior management to ensure our risk and control environment is robust across a broad range of activities

In this role you will

• Promote awareness and engagement from all areas of UKPI to create a culture that is “risk aware” and controls focused

• Support the management of control improvement across all UKPI business areas including identification, providing solutions and implementation

• Support the drive for continuous improvement to achieve excellent client and business outcomes and ensuring processes remain aligned to the broader Enterprise Risk Management (ERM) risk framework and regulatory rules

• Support independent reviews and challenge to identify ‘true’ top risks to support ‘informed decisions’ by senior management

• Assess associated risk of prioritised change items and work with key stakeholder across UKPI CSO to ensure risks are fully understood

• Build and maintain strong relationships with Leaders across UKPI and provide high quality consulting, guidance, and support on risk matters, including coaching on ‘best practice’ to aid ‘self-identification’ of risks (existing/ emerging), process and control gaps and/or weaknesses

• Lead and coordinate periodic reviews (RCSA, Liquidity, ICARA, etc.) with key stakeholders across UKPI CSO, providing guidance and support plus independent review and challenge

• Ensure identified risks are recorded and reported in an accurate and timely manner, working with key stakeholders across UKPI CSO to ensure robust actions plans are implemented and completed timely

• Oversight of open risks, ballast point items, and action plans and work with key stakeholders across UKPI CSO stakeholders to ensure timely closure and ensure accountability

• Review risk events across UKPI to ensure they conform the ERM Risk Event Standard

• Analysis (root cause, trend etc.) of MI to identify control gaps and emerging risks

• Controls testing across UKPI business areas

• Participates in special projects and perform other duties as assigned

What it takes

• Practical experience of the application of risk principles and how they apply in an operations environment

• Ability to work in a team environment, whilst taking personal responsibility for delivery of own tasks

• Previous experience coordinating ICARA, Risk Assessments, RCSAs, Top Risks etc.

• Excellent communication skills

• Strong proficiency in use of Microsoft Office applications (PowerBI desired)

• Undergraduate degree or equivalent combination of training and experience

Special Factors

• Vanguard is not offering sponsorship for this position.

About Vanguard

We are Vanguard. Together, we’re changing the way the world invests.

For us, investing doesn’t just end in value. It starts with values. Because when you invest with courage, when you invest with clarity, and when you invest with care, you can get so much more in return. We invest with purpose – and that’s how we’ve become a global market leader.

We want to make success accessible to everyone. This is our opportunity. Let’s make it count.

Inclusion at Vanguard

Vanguard’s continued dedication to diversity and inclusion is firmly rooted in our culture. Every decision we make to best serve our clients, crew (internally employees are referred to as crew), and communities is guided by one simple statement: “Do the right thing.”

We believe that a critical aspect of doing the right thing requires building diverse, inclusive, and highly effective teams of individuals who are as unique as the clients they serve. We empower our crew to contribute their distinct strengths to achieving Vanguard’s core purpose through our values.

When all crew members feel valued and included, our ability to collaborate and innovate is amplified, and we are united in delivering on Vanguard's core purpose.

Our core purpose: To take a stand for all investors, to treat them fairly, and to give them the best chance for investment success.

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.