Regulatory and Product Oversight, Senior Specialist
Posted Today by Robert Walters
Negotiable
Undetermined
Hybrid
London, England, United Kingdom
Summary: The Regulatory and Product Oversight, Senior Specialist role at Vanguard involves developing and implementing internal controls related to regulatory governance and product oversight. The position requires extensive experience in pensions and SIPP administration, as well as a strong background in regulatory oversight within financial services. The specialist will serve as a subject matter expert, advising on audits and risk assessments while fostering relationships with stakeholders. This is a 12-month contract position based in London with a hybrid work setup.
Key Responsibilities:
- Develops, implements, and tests internal controls across regulatory governance, product oversight, and multiple tax wrappers.
- Serves as subject matter expert (SME) on regulatory governance and oversight, providing consultation, challenge, and analytical support across products.
- Advises on audits, risk assessments, and remediation planning to support effective risk mitigation and sustainable outcomes.
- Designs and implements data-led governance and oversight tools to improve transparency, efficiency, and risk identification.
- Builds and manages strong relationships with internal stakeholders and outsourced partners, promoting best practice, process improvement, and control maturity.
- Oversees platform governance and regulatory/product-technical activities, ensuring compliance, accurate documentation, and timely reporting.
- Provides training, guidance, and representation in internal and external forums, supporting broader understanding of regulatory obligations and contributing to projects as required.
Key Skills:
- Extensive experience in pensions and Self-Invested Personal Pensions (SIPP) administration and governance.
- Strong background in regulatory and operational governance oversight within financial services.
- Hands-on experience with retail investment platforms.
- Strong knowledge of industry regulations (FCA, HMRC, tPR, etc.) and exposure to multiple products or wrappers.
- Analytical and operational expertise with strong communication, organizational skills, and adaptability to change.
Salary (Rate): undetermined
City: London
Country: United Kingdom
Working Arrangements: hybrid
IR35 Status: undetermined
Seniority Level: undetermined
Industry: Other
Regulatory and Product Oversight, Senior Specialist
Location: London
Role Type: Contract - 12 months
Work Setup: Hybrid
Who We Are
Vanguard is one of the world's leading investment firms, dedicated to helping clients achieve lasting financial success. Established in 1975, its unique ownership structure-where funds own the company and investors own the funds-ensures all efforts are focused on client outcomes. Known for integrity, innovation, and low-cost investing, fosters an inclusive and collaborative culture that empowers employees to make a meaningful impact globally.
What you'll do:
- Develops, implements, and tests internal controls across regulatory governance, product oversight, and multiple tax wrappers, addressing control gaps and enhancing effectiveness
- Serves as subject matter expert (SME) on regulatory governance and oversight, providing consultation, challenge, and analytical support across products
- Advises on audits, risk assessments, and remediation planning to support effective risk mitigation and sustainable outcomes
- Designs and implements data-led governance and oversight tools to improve transparency, efficiency, and risk identification
- Builds and manages strong relationships with internal stakeholders and outsourced partners, promoting best practice, process improvement, and control maturity
- Oversees platform governance and regulatory/product-technical activities, ensuring compliance, accurate documentation, and timely reporting
- Provides training, guidance, and representation in internal and external forums, supporting broader understanding of regulatory obligations and contributing to projects as required.
What You Bring
- Extensive experience in pensions and Self-Invested Personal Pensions (SIPP) administration and governance
- Strong background in regulatory and operational governance oversight within financial services
- Hands-on experience with retail investment platforms
- Strong knowledge of industry regulations (FCA, HMRC, tPR, etc.) and exposure to multiple products or wrappers
- Analytical and operational expertise with strong communication, organizational skills, and adaptability to change
What's Next:
If you are ready to take the next step, apply now. Successful applicants will be contacted directly by a recruiter to discuss the role more. We are committed to creating an inclusive recruitment experience. If you require support or adjustments to the recruitment process, our Adjustment Concierge Service is here to help. Please feel free to contact us at adjustments@robertwalters.com to discuss how we can support you.
This position is being recruited on behalf of our client through our Outsourcing service line. Resource Solutions Limited, trading as Robert Walters, acts as an employment business and agency, partnering with top organizations to help them find the best talent. We welcome applications from all candidates and are committed to providing equal opportunities.