Head of Operational Oversight

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

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Purpose of the Ro**

leTo 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 busines

**s.

Key Responsibilit**

iesStrategic Oversight & Enablem

• entLead operational oversight across Superannuation, Personal Investor, Adviser Operations, and Transfer Agency (TA) functio
• ns.Drive continuous improvement and scalable solutions through data-driven insights and functional experti
• se.Champion a resilient service model that integrates vendor performance, client experience, and regulatory complian

**ce.

Risk & Quality Assur**

• anceEstablish and maintain robust control frameworks for high-risk functions including manual processes, exception handling, and complex case managem
• ent.Oversee lifecycle monitoring (e.g., unallocated money, investment asset allocation, account closur
• es).Lead quarterly QA reviews and SLA monitoring across client service & operati

**ons.

Vendor & Platform Gover**

• nanceCoordinate operational calls and meetings with third-party vendors (e.g., FNZ, Grow, MUFG, Computersh
• are).Manage system access approvals across platforms (DLTA, Chandler CX, SuperChoice, SSRS, Looker, Grow Connect, Personal Investor Platf
• orm).Ensure oversight of distributions, transfers, and BAU processing across TA and Personal Inve

**stor.

Adviser & Licensee Ove**

• rsightAdminister onboarding, fee validation, LDA amendments, and adviser maintenance (including
• FNZ).Handle exception queries, manual changes, and adviser-led member transac
• tions.Oversee advice fee processes including refunds, clawbacks, and invoice communica

**tions.

Client Experience & Reme**

• diationLead event reporting, analysis, and remediation across Super, Personal Investor,
• and TA.Manage complaints, AFCA cases, complex insurance claims, and vulnerable member s
• upport.Ensure OST reporting across complaints, insurance operations & claims, cashflow, and fund

**events.

Regulatory & Compliance R**

• eportingOversee SRO and BAS payments, international reporting, and licensee governance attes
• tations.Support legal reviews and ensure alignment with regulatory obligations and audit requi

**rements.

Key Cap**

• abilitiesProven leadership in operational oversight across superannuation and financial
• services.Deep understanding of regulatory frameworks (ASIC, APRA, AUSTRAC) and vendor go
• vernance.Strong analytical and problem-solving skills with experience in exception handling and rem
• ediation.Excellent stakeholder engagement and communication skills across al
• l levels.Ability to lead cross-functional teams and influence strategic

**outcomes.

Team**

• LeadershipLead a team of ~19 crew across Super, Personal Investor, and TA oversight
• functions.Foster a culture of accountability, continuous improvement, and client-c
• entricity.Collaborate with internal leaders across Operations, Risk, Compliance, Marketing, Client Experience and Strategic E

**nablement.

Inclusi**

on StatementVanguard'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 r

ight 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 throug

h 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 inves

tment success.