Bronwyn Marshall

• Contributed to the development of the company’s Third-Party Risk Management and Outsourcing framework, aligning with regulatory expectations and internal governance standards.
• Helped define materiality and outsourcing assessment criteria to support consistent, risk-based decision making.
• Supported the design and implementation of enhanced sourcing due diligence processes and governance reporting templates.
• Created RACI documentation covering the end-to-end third-party lifecycle, including sourcing, procurement, onboarding, and oversight.
• Enhanced the company’s SLA playbook and contributed to the development of meaningful KPIs for critical third-party arrangements.
• Assisted in the delivery of Quarterly Business Reviews and ongoing vendor performance monitoring.
• Supported issue and incident management processes, helping establish clear escalation and resolution pathways
• Collaborated across procurement, risk, legal, and business functions to strengthen overall third-party governance and embed TPRM practices operationally

• Create European Third Party Service Provider Policy and Implementation Guidelines, ensuring all employees understand and comply with outsourcing and internal governance requirements (EBA and CBI).
• Create user-friendly Third Party Guideline Pack, helping the business understand their roles and responsibilities during the vendor lifecycle.
• Support Engagement Owner and Business Manager relationships by providing the relevant training, tools (exit plan and BCP templates, risk assessments, supplier register, etc), and reports/dashboards (Tableau and R Report) needed to properly oversee their vendors.
• Manage the Supplier Register (Power Apps), ensuring data integrity and regulatory compliance to the CBI and EBA Outsourcing and Resilience requirements. Complete quality assurance checks with the business as necessary.
• Create informative, meaningful and timely Board and Committee Reports.
• Identify critical Third Party risks, escalating to senior management timely, identify opportunities for enhancing controls, and oversee risk mitigation plans.
• Where Third Party services are outsourced to the Vanguard parent company, ensure the U.S teams - TPRM, Enterprise Supplier Management and Risk Domains are aware of and compliant with European Outsourcing regulations.
• Ensure Vanguard Intragroup relationships are correctly identified, added to the supplier register, and risk assessed to ensure correct management oversight is applied.

Achievements:

• Lead a project to identify gaps in the due diligence performed on Critical providers relating to European Risk Domains and European regulatory requirements. Collaborated with local Risk Domain owners to understand risk exposure, ensured pathways to green were in place and due diligence reviews were completed timely.

• Developed an enhanced due diligence process and procedures. Lead due diligence visits at providers with stakeholders, maintaining excellent working relationships with providers, identifying and recording opportunities for improvements. Write and issue due diligence report for Senior Management.
• Perform Risk Based Assessments for Tier 1 vendors. Clarifying roles and responsibilities with stakeholders, identifying high and critical rated risks at both process and controls and governance levels. Any risks identified as out of appetite have pathways to green implemented.
• Complete robust Risk Control Self Assessments.
• Managing high and critical risks via the company risk register, Ballast Point, continually updating and monitoring until closure.
• Chair the quarterly department risk meeting, helping teams think about and identify top risks, identify risk trends, discuss pathways to green and provide any required risk training or updates.
• Create monthly Risk MI Dashboard via Power BI.
• Continually enhance and update department KRIs, reviewing results via quarterly meetings with senior management.
• Assist with internal and external audits by collecting samples and providing walk-throughs when required.

Achievements:

• Vanguard Award for Excellence Nomination 2021
• Vanguard Partnership Spot Award Winner 2021. For creating a first class risk management framework, which was called out by ERM as best in class and an example for other areas to aspire too, always going above and beyond, helping others, sharing knowledge, and having a relentless pursuit to improve the risk management space.
• LDX Discovery - Leadership Training Course completed 2021.
• Finance Leadership Development Program (FLDP) completed 2021.

• Review Operational UK Personal Investor Platform / Transfer Agency KPIs and SLAs and ensure of expected standard. Challenge where appropriate and agree remediation plans. Follow up in service review calls until closure.
• Create, review and enhance monthly provider scorecard dashboard.
• Provide MI pack to internal provider stakeholders.
• Complete account reconciliation checks on Client Money Accounts. Ensure compliance with CASS rules. Where anomalies are found, follow up with provider and ensure timely response and resolution.
• Complete annual refresh of department ICAAP Key Risk Scenarios. Present scenario findings to stakeholders within ICAAP workshops.
• Ensure all critical tasks are completed by outsource providers timely and accurately, such as, delivery of prediction files. Where necessary, implement business continuity plans.
• Update all risk events and near misses, both internal and external, in the incident log. Follow up with root cause analysis, financial impact, and remediation plan until closure.

Achievements:

• Built team BAU checklist to ensure appropriate allocation of resources and accountability of tasks being completed.

• Oversee day to day activities of the UK and Irish Transfer Agencies, ensuring all critical tasks are performed accurately and timely.
• Review KPI scores monthly to ensure provider performance is of expected standard and take action to mitigate any shortfalls.
• Attend onsite due diligence, take minutes and provide write-ups. Follow up on outstanding actions during provider service meetings.
• Actively monitor and respond timely to all incoming email and phone call queries.
• Manage stakeholder relationships with late delivery of prediction files. Follow up with providers on any issues seen and implement mitigation plans.
• Actively monitor for high trade deals and ensure smooth transition to ensure excellent client experience.
• Work closely with AML/KYC team and provider to ensure outstanding AML queries are resolved in a timely and accurate manner. Provide assistance where necessary.
• Work with Client Relationship Team to mitigate any issues with service provided to clients by vendors, including client complaints.
• Coordinate and lead monthly vendor service reviews.
• Assist with internal and external audits by collecting samples and providing walk-throughs when required.

Achievements:

• Worked on large scale, 6-month project, to transition the Irish Transfer Agency vendor relationship from JPMorgan to BBH.

• Complete payment processing for cheques and SWIFT instructions. Where issues are identified assist to remediate timely and escalate when necessary.
• Complete all end of day reconciliation checks for payments and ensure inquiry queues are cleared down.
• Process physical standard transfer forms, stock forms, and deceased estate forms.
• Monitor group inbox and ensure clients and internal stakeholders are responded to accurately and timely.
• Develop training material and 'buddy up' system for on-boarding new team members.
• Create monthly dashboard and MI Pack with detailed trend analysis for all key internal and external stakeholders.

Achievements:

• Streamlined cash payment processing by creating new Excel Macro tool, which reduced time taken to complete cash processing by 75%.

• Ensure all team tasks are executed to a good standard and in timely fashion. Where issues are identified, provide feedback to the team and additional training if necessary.
• Complete quarterly reviews of team resource requirements and amend allocation of resource if necessary.
• Provide periodic reports to senior management identifying successes and areas of opportunities for the team.
• Actively engage in Kaizen initiatives to identify opportunities for gaining efficiencies in the team and implement, leading any projects as necessary.
• Ensure the team has the tools and knowledge required to excel in their roles.
• Help to identify talent within the business for future succession planning.
• End of year performance reviews and performance management where required.
• Conflict resolution and management.
• Interviewing candidates for open roles, on-boarding and settling in of new team members.

Achievements:

• Reviewed allocation of team tasks and workflow and redistributed to maximise synergies within team. Reducing time taken to complete daily BAU tasks by 25% and sign-off delays by 50%.

• Completed Quality Control of daily fixed and variable bond payments and dividends by team analysts. Release payments once reviewed.
• Completed Quality Control of client messaging for corporate action events and annual company meeting resolution votes by team analysts. Release messages once reviewed.
• Completed Quality Control of timely and accurate responses to client emails and phone calls and assisted where necessary.
• Trained new team analysts.
• Provided support and mentorship to colleagues.

• Completed correct and timely processing of daily fixed and variable bond payments and dividends.
• Completed correct and timely processing of client messaging for corporate action events and annual company meeting resolution votes.
• Timely and accurate response to client emails and phone calls.