Business Controls Oversight Analyst, Specialist

Duties and Responsibilities

1.Evolves the control strategy, operating model, and multi-year control roadmap for Client Administration, ensuring alignment with business objectives, enterprise risk frameworks, and regulatory expectations.

2.Serves as advisor to department leadership on risk appetite, emerging risks, control investments, and prioritization decisions. Translates risk insights into recommendations that strengthen business outcomes and risk management practices.

3.Leads Client Administration participation in enterprise and divisional control initiatives. Represents the department in cross-functional forums and builds strategic partnerships across Risk, Compliance, Operations, Product, Technology, Information Security, Internal Audit, and Legal to influence control standards, governance practices, and risk mitigation strategies.

4.Owns departmental control governance forums, control health assessments, metrics, dashboards, and reporting, providing transparent insight into control effectiveness, risk exposure, issue trends, and required leadership actions.

5.Owns and maintains Client Administration control inventory and coordinates department risk assessments, including oversight of issue identification, action planning, remediation, validation, closure, and escalation of material risks.

6.Leads the design and execution of control monitoring and oversight, including control execution, evidence collection, exception management, and assessment of control effectiveness and sustainability.

7.Leads remediation efforts, control improvements, audits, regulatory reviews, and independent assessments. Ensures documentation, evidence, management responses, and remediation commitments are complete, accurate, and timely.

8.Drives process improvement, control simplification, and automation to reduce risk, improve efficiency and evidence quality, and strengthen the scalability of the control environment.

9.Serves as the department's recognized subject matter expert for controls and governance, providing thought leadership on complex control matters, challenging proposed solutions when risk is not appropriately addressed, and mentoring risk and controls professionals.

10.Maintains current knowledge of Vanguard policies, industry practices, regulatory developments, and emerging risks, applying this knowledge to proactively strengthen the department control environment. Leads special projects and performs other duties as assigned.

Qualifications

• Undergraduate degree or equivalent combination of training and experience.

• Minimum of five years of related business experience, including demonstrated insight of complex risk, controls, governance, audit, or remediation efforts.

• Advanced knowledge of business controls, risk management practices, control design, monitoring, testing, issue management, and governance.