Job Application

Job Title: Cash and Assets Oversight Analyst
Job Type: Permanent (Full-Time)
London: London (Hybrid)
Salary: Competitive

The Cash & Assets Oversight Team is responsible for overseeing all outsourced operational services relating to payments into our out of Vanguard's UK Direct to Consumer (D2C) retail platform. Amongst the products supported by the team are ISA, JISA, General Account, SIPP, and our Managed ISA. This role is an opportunity to join the Cash & Assets Oversight team, as an Oversight Analyst assisting with the team's responsibility to ensure the compliance of platform service provider business activities with all applicable regulatory and policy guidelines. The successful candidate will proactively identify and remediate control gaps and ensure that controls are designed and operating effectively.

As a UKPI Cash & Assets Oversight Analyst, you will;

Provide administration of the team mailbox, providing responses where possible and escalating

relevant items to senior team members 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 contribution payments and processing.

Ensuring tax relief receipts are collected and passed on to clients.

Reviewing drawdown processing and client payments

Reviewing client documentation for completeness and accuracy

Reviewing client money bank account positions.
Checking Internal Client Money Reconciliations, External Client Money Reconciliations and
Asset Reconciliations.

What it takes:

* Undergraduate degree or equivalent combination of training and experience required.

* Experience performing a similar role.

Sufficiently detailed solid understanding of relevant industry regulations/regulators (ie

HMRC, FCA, TPR, COBS, CASS, etc.)

* Experience with a D2C retail investment platform highly preferential.

* 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.

Proven 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.

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 Recruitment Delivery Team are committed to offering an inclusive recruitment experience to all candidates. If you require any accommodations or adjustments as a result of disability, impairment, or health condition, please do not hesitate to let me know by emailing