Head of Regulatory Disclosures
Vanguard · London
Head of Regulatory Disclosures
Vanguard
We are looking to hire a Head of Regulatory Disclosures to lead, advise, and provide assurance across the end‑to‑end fund disclosures process - ensuring all regulatory filings are drafted, reviewed, approved, and disseminated accurately and on time. You will anticipate disclosure impacts arising from fund, regulatory and organisational change, updating or creating the relevant disclosures within required timelines. Partnering with business leaders, you will manage disclosure‑related risks and resolve issues swiftly to uphold robust governance and stakeholder confidence.
Core Responsibilities
- Provides ultimate direction and oversight of the team's writing, editorial and filing processes for the disclosures in scope (Prospectuses, Supplements, UCITS KIIDs, PRIIPs KIDs, NURS KII). Develops and directs the implementation of policies, procedures, and controls designed to ensure accuracy of content and compliance with applicable rules and requirements for fund (and in due course, entity) disclosures in every document and media format in which they appear.
- Provides leadership and technical expertise to disclosure specialists in the team and key business partners in the production and oversight of Prospectuses and other regulatory disclosures, including but not limited to, Supplements, UCITS KIIDs, PRIIPs KIDs and NURS KII.
- Develops, maintains, and broadens effective working relationships across Vanguard. Partners with necessary internal and external stakeholders to determine when escalation is required and in resolving disclosure related escalations.
- Maintains appropriate level of knowledge and awareness of current fund and regulatory events and manages the impacts they may have to the production and alignment of the applicable disclosures.
- Ensures the disclosures team maintains an appropriate level of knowledge and awareness of fund regulatory disclosure requirements, including CBI and FCA disclosure expectations, which may impact on applicable disclosures.
- Drives process improvement changes to strengthen governance and controls, enhance efficiency, and ensure appropriate use of technology. Oversees implementation of new processes.
- Monitors regulatory developments, industry and competitor trends and participates in the European Regulatory Change Forum to be aware of impacts to disclosures. Contributes to keeping stakeholders and interested parties abreast of potential impact.
- Participates in special projects and performs other duties as assigned.
- Hires, evaluates, and supervises crew. Provides guidance and training as necessary to develop crew. Sets performance standards, reviews performance, and makes informed compensation decisions in accordance with all applicable Human Resources policies and procedures.
Qualifications
- Strong experience in financial services coupled with strong legal or regulatory disclosure experience. Qualified lawyer considered.
- Team management experience preferred.
- Knowledge of European fund disclosure requirements and regulatory disclosure expectations impacting Irish UCITS, UK UCITS and UK NURS.
- Undergraduate degree or equivalent combination of training and experience. Graduate degree preferred.
- Strong verbal, written, and interpersonal communication skills, with the ability to influence business partners and interact with all levels of the organization.
- Excellent judgment and proven ability to analyse issues quickly and independently take appropriate action under tight timeframes.
- Demonstrated ability to function in fast paced, ambiguous environment working with multiple and diverse responsibilities.
- Strong project management skills and experience preferred.
- Strong work ethic. Demonstrated willingness to contribute to the overall success of the unit and Vanguard.
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.