Head of Operational Oversight, Personal Investor

Head of Operational Oversight, Personal Investor Join to apply for the Head of Operational Oversight, Personal Investor role at Vanguard About Vanguard More than 45 years ago, John C. Bogle had a vision to start an investment company that did things differently. A company with no external shareholders. Where all the profits were invested back into the business and used to lower costs. Evidently, it was as bold as it was brilliant. To this day, Vanguard Group still has no external shareholders. That means no share prices to protect, and no profits to generate for outside owners. Today, Vanguard is one of the world’s largest investment management companies, serving more than 50 million investors worldwide. For more than 25 years Vanguard Australia has been supporting individual investors, financial advisers, and superannuation members to achieve their long‑term financial goals. Purpose of the Role To enable operational excellence through proactive oversight and quality assurance across high‑risk and complex operational functions. This role ensures efficient processes, consistent high‑quality outcomes, and builds trust with clients and advisers – ultimately driving client loyalty and protecting the integrity of the Vanguard Super & Personal Investor business. Key Responsibilities Strategic Oversight & Enablement Lead operational oversight across Superannuation, Personal Investor, Adviser Operations, and Transfer Agency (TA) functions. Drive continuous improvement and scalable solutions through data‑driven insights and functional expertise. Champion a resilient service model that integrates vendor performance, client experience, and regulatory compliance. Risk & Quality Assurance Establish and maintain robust control frameworks for high‑risk functions including manual processes, exception handling, and complex case management. Oversee lifecycle monitoring (e.g., unallocated money, investment asset allocation, account closures). Lead quarterly QA reviews and SLA monitoring across client service & operations. Vendor & Platform Governance Coordinate operational calls and meetings with third‑party vendors (e.g., FNZ, Grow, MUFG, Computershare). Manage system access approvals across platforms (DLTA, Chandler CX, SuperChoice, SSRS, Looker, Grow Connect, Personal Investor Platform). Ensure oversight of distributions, transfers, and BAU processing across TA and Personal Investor. Adviser & Licensee Oversight Administer onboarding, fee validation, LDA amendments, and adviser maintenance (including FNZ). Handle exception queries, manual changes, and adviser‑led member transactions. Oversee advice fee processes including refunds, clawbacks, and invoice communications. Client Experience & Remediation Lead event reporting, analysis, and remediation across Super, Personal Investor, and TA. Manage complaints, AFCA cases, complex insurance claims, and vulnerable member support. Ensure OST reporting across complaints, insurance operations & claims, cashflow, and fund events. Regulatory & Compliance Reporting Oversee SRO and BAS payments, international reporting, and licensee governance attestations. Support legal reviews and ensure alignment with regulatory obligations and audit requirements. Key Capabilities Proven leadership in operational oversight across superannuation and financial services. Deep understanding of regulatory frameworks (ASIC, APRA, AUSTRAC) and vendor governance. Strong analytical and problem‑solving skills with experience in exception handling and remediation. Excellent stakeholder engagement and communication skills across all levels. Ability to lead cross‑functional teams and influence strategic outcomes. Team Leadership Lead a team of 19 crew across Super, Personal Investor, and TA oversight functions. Foster a culture of accountability, continuous improvement, and client‑centricity. Collaborate with internal leaders across Operations, Risk, Compliance, Marketing, Client Experience and Strategic Enablement. Inclusion Statement Vanguard’s continued commitment 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. Seniority level Director Employment type Full‑time Job function Other Referrals increase your chances of interviewing at Vanguard by 2x #J-18808-Ljbffr