Audit Project Manager, Intermediary Business

Within the organization, the U.S. Audit Services team is seen as a critical line of defense for the Institutional, Retail and Financial Advisor Services divisions. The team is comprised of hard-working, highly motivated, and technically skilled professionals who consistently deliver high-quality work in a dynamic environment. The team also promotes a flexible and well-balanced work environment. Audit Project Managers play a significant role in the development and execution of the audit plan for one’s business area of focus and providing business management with insight on risk, control and process improvements. Individuals in this role demonstrate professional curiosity, have a continuous improvement mindset, possess the desire/aptitude to rapidly learn new skills and concepts and exemplify the highest degree of trust and integrity.

This candidate would work within the U.S. Audit Services, FAS team. This team executes audits and projects primarily within the FAS division, across the sales channels (sales and relationship management), transfer agent and record keeping business areas. Working in Internal Audit will provide you with the opportunity to work with audit teams in operational, financial, regulatory, and informational technology areas, allow you to participate in cross-department and divisional projects (i.e. involving multiple senior leaders and businesses), and expose you to strategic and enterprise-level risks and controls. The role requires ongoing collaboration with our audit teams, as well as our key risk partners across the organization and business management. The role offers a great opportunity to learn and apply transferable knowledge (risk and controls) and skills (influence, critical thinking, and relationship management).

Primary Duties and Responsibilities:

  • Works with Audit Senior Management team to develop the annual audit plan to achieve departmental and corporate objectives.
  • Manages crew assigned to the audit project, setting clear expectations, providing appropriate development and constructive and candid feedback during and after the audit assignment
  • Works closely with client management in the planning, development and execution of the audit plan.
  • Demonstrates initiative and creativity in independently recommending and implementing control solutions.
  • Develops and maintains an ongoing working knowledge of Vanguard funds and business.
  • Develops and maintains an ongoing working knowledge of processes and systems (including associated operating risk factors) that support Vanguard’s operations.
  • Demonstrates a solid understanding of internal control concepts and their application to Vanguard’s global operations.
  • Establishes and maintains effective working relationships with unit, department and division management, as well as PricewaterhouseCoopers. Performs inquiries of key management personnel to assist in developing the strategy for each audit.
  • Provides advice and guidance to staff as assigned and works collaboratively with team members.
  • Drafts and reviews audit reports and other communications to management. Assists the Senior Manager and Audit Director in preparing communications to the audit committee.
  • Ensures operational efficiency and effectiveness within the unit. Sets measurable goals and examines ways to raise standards, to increase quality and to improve overall performance of the unit. Participates in the development of project budgets.
  • Participates in special projects and performs other duties as assigned.

The Ideal Candidate Should Possess:

  • Undergraduate degree in a business related field of concentration or equivalent combination of training and experience. Professional certification or advanced degree (e.g., ACA, CPA, CIA, MBA, CFA or CIDA) preferred.
  • Minimum of five years general business experience, including two to four years of asset management experience.
  • Minimum of five years Internal Audit experience.
  • Strong working knowledge of and demonstrated interest in financial services.
  • Excellent leadership, interpersonal, verbal and written communication, presentation, and problem solving skills.
  • Experience in situations requiring diplomacy. Strong negotiation skills.
  • Strong Client/Focus and relationship skills.

Vanguard does not provide sponsorship for this position.

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