The Role
As a key member of the Financial Crime Operations leadership team, the Head of Financial Crimes Operations Execution lead the delivery of financial crime many prevention and detection customer onboarding and in in-life controls across Vanguard's UK Personal Investor business. The role is responsible for overseeing customer onboarding and ongoing monitoring activities, including CDD, sanctions, PEP and adverse media screening, and transaction monitoring.
Leading a team of leaders, specialists and operational professionals, you will ensure effective risk management, regulatory compliance and operational excellence, while driving continuous improvement through data, technology and automation. Working closely with senior leaders and second-line partners, you will help shape a scalable, customer-focused financial crime framework that supports Vanguard's growth and maintains strong risk outcomes.
In this role you will
Lead the execution of financial crime controls across the client lifecycle, including CDD, EDD, sanctions, PEP and adverse media screening, and transaction monitoring
Support the development and delivery of Vanguard's Financial Crime strategy, ensuring alignment with business growth, customer experience and risk appetite
Develop and evolve the target operating model for onboarding and ongoing customer due diligence, using data, MI and KPIs to drive performance and decision-making
Lead and develop high-performing teams, fostering a culture of accountability, continuous improvement and operational excellence
Drive risk reduction, remediation and quality improvement initiatives, ensuring consistent application of controls and regulatory requirements
Partner with Risk, Compliance and business stakeholders to identify, assess and mitigate financial crime risks across the investment lifecycle
Lead transformation initiatives, including the implementation of new technologies, workflow solutions, automation and AI-enabled capabilities
Oversee key third-party relationships, audits, regulatory reviews and remediation activities to maintain a robust and effective control environment
What it takes
Extensive Financial Crime experience across AML, CDD, EDD, transaction monitoring, sanctions, PEP and adverse media screening
Strong understanding of UK financial crime regulations and their application within retail investing and financial services
Proven experience leading operational teams and delivering large-scale customer lifecycle and financial crime processes
Experience using data, MI and analytics to improve operational performance and manage risk
Strong people leadership skills with a track record of developing high-performing teams
Excellent stakeholder management and influencing skills, with the ability to build credibility at all levels
Strategic thinker with a strong delivery focus and a practical, hands-on approach to problem solving
Special Factors
Vanguard is not offering visa sponsorship for this position
This is a hybrid position and would require you to work in the office 3 days per week (Tuesday, Wednesday & Thursday)
Please note that we review applications on a rolling basis and may close this role early if there is a high level of interest. To avoid missing out, we recommend applying as soon as possible
Why Vanguard?
Vanguard is a different kind of investment company. It was founded in the United States in 1975 on a simple but revolutionary idea: that an investment company should manage its funds solely in the interests of its clients.
This is a philosophy that has helped millions of people around the world to achieve their goals with low-cost, uncomplicated investments.
It's what we stand for: value to investors.
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.
Skills Required
- Extensive experience in financial crime, including AML, CDD, EDD, transaction monitoring, sanctions, PEP and adverse media screening
- Strong understanding of UK financial crime regulations and their application within retail investing and financial services
- Experience leading operational teams and delivering large-scale customer lifecycle and financial crime processes
- Experience using data, management information and analytics to improve operational performance and manage risk
- Strong people leadership skills and a track record of developing high-performing teams
- Excellent stakeholder management and influencing skills, with credibility at all levels
- Strategic thinking combined with strong delivery focus and practical problem-solving skills
Vanguard Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about Vanguard and has not been reviewed or approved by Vanguard.
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Retirement Support — Retirement support appears unusually strong through a 401(k) design that includes a match plus an additional employer contribution, which can materially lift long-term total rewards. HSA seeding and an enhanced employer match further strengthen the savings-and-benefits value of the package.
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Wellbeing & Lifestyle Benefits — Wellbeing and lifestyle support is reinforced by a sizable annual FlexFund stipend that can be applied across many day-to-day categories such as fitness, childcare, and other personal expenses. On-site or virtual clinics and fitness options add practical health and wellness convenience.
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Affordable Benefits — Healthcare and related benefits are positioned as comparatively affordable via heavily subsidized medical plans and broad coverage options. This affordability can offset moderate base pay for employees who place higher value on out-of-pocket cost reductions.
Vanguard Insights
What We Do
We are a community of 30 million who think – and feel – differently about investing. Together, we’re changing the way the world invests. Since our founding in 1975, helping our investors achieve their goals is our sole reason for existence. With no other parties to answer to and therefore no conflicting loyalties, we make every decision—like keeping investing costs as low as possible—with only your needs in mind. Vanguard is one of the world's largest investment companies, offering a large selection of high-quality low-cost mutual funds, ETFs, advice, and related services. Individual and institutional investors, financial professionals, and plan sponsors can benefit from the size, stability, and experience Vanguard offers. As of April 30, 2019, we managed more than $5.6 trillion in global assets. In addition, we have 189 funds in the United States and 225 funds in global markets. For Commenting Guidelines & Important information, visit here: http://vanguard.com/linkedin Vanguard Marketing Corporation, Distributor.
