Remediation Senior Associate

Vista previa de la oferta

Remediation Senior Associate

senior · Risk & Compliance

Core Responsibilities

Manage Remediation Cases and Information Gathering:

• Act as the case owner for assigned remediation matters, ensuring each case is progressed efficiently, accurately and with appropriate client focus.
• Liaise with third parties, internal teams and external providers to obtain the information required to complete financial loss assessments.
• Review information received to confirm it is complete, relevant and suitable for use in the remediation calculation.
• Track outstanding information requests, follow up within agreed timescales and escalate delays or data gaps where appropriate.

Complete Financial Loss Calculations and Remediation Outcomes:

• Carry out financial loss calculations once all required information has been received, ensuring the methodology is applied accurately and consistently.
• Record the rationale, inputs, assumptions and outcome of each calculation clearly so that decisions can be reviewed and evidenced.
• Identify cases where additional review, quality checking or technical support is required before the outcome is confirmed.
• Support the delivery of fair client outcomes by ensuring compensation reflects the impact of the identified issue and places the client in the appropriate position where required.

Client Communication and Compensation Administration:

• Communicate with clients throughout the remediation process, providing clear and timely updates on progress, outstanding information and expected next steps.
• Confirm to clients when calculations have been completed and explain the findings in a clear, professional and client-friendly manner.
• Arrange payment of compensation where due, including cash payments to a nominated bank account or unit compensation to the relevant investment account.
• Ensure client communications are accurate, empathetic and aligned to approved process, regulatory expectations and internal quality standards.

Process Adherence, Risk and Record Keeping:

• Follow agreed remediation procedures, calculation methodologies and approval controls to ensure consistency and accuracy across all cases.
• Maintain accurate records of third-party contact, information received, calculation outputs, client updates and compensation actions.
• Handle client and account information securely, escalating any data quality, privacy, operational risk or conduct concerns promptly.
• Contribute to process improvements by identifying recurring issues, delays or themes that may impact remediation delivery or client experience.

Complaint Investigation and Resolution:

• Support the investigation of client complaints as required, taking ownership of assigned cases through to resolution.
• Review client concerns, account activity, communications and supporting evidence to establish the facts of each case.
• Conduct thorough and impartial investigations, identifying root causes and assessing whether service, process or administrative errors have occurred.
• Prepare clear and well-reasoned complaint outcomes, ensuring decisions are supported by evidence and aligned with regulatory requirements, internal policies and complaint-handling standards.
• Communicate complaint findings to clients in a professional, clear and empathetic manner, addressing concerns and managing expectations throughout the process.
• Identify and escalate any systemic issues, trends or control weaknesses identified through complaint investigations to support continuous improvement and fair client outcomes.
• Reflecting the additional expectations of Senior Associate role, assess the complaint handling completed by other crew to support quality assurance, provide constructive feedback, and independently review challenged or escalated outcomes to ensure decisions are evidence-based, fair and consistent.

Key Skills & Experience

• Experience in administration, remediation, complaint handling, client operations or financial services case management.
• Strong numerical ability, attention to detail and confidence working with calculations, data input and reconciliation-style activity.
• Excellent written and verbal communication skills, with the ability to explain complex information clearly and professionally to clients.
• Ability to liaise effectively with third parties, internal stakeholders and operational teams to obtain information and resolve queries.
• Strong organisational skills, with the ability to manage multiple cases, track outstanding actions and work to agreed timescales.
• Sound judgement, discretion and awareness of the importance of fair client outcomes within a regulated financial services environment.
• Collaborative, team-oriented approach with a commitment to accuracy, continuous improvement and doing the right thing for clients.

Special Factors:

Vanguard is not offering sponsorship for this position.

This is a hybrid position and would require you to work in the Manchester office Tuesday-Thursday.

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. 

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: 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.