Control, Audit and Compliance Manager

To manage staff and lead efforts to monitor business process compliance and the internal controls environment for the finance shared services organization. To provide operational oversight of critical internal business processes, and create and administer a centralized management reporting function for all ESM.

Duties and Responsibilities

1. Manage staff, creating a strong team atmosphere. Conduct regular one-on-one meetings and provide guidance, training and motivation as necessary to develop staff. Hire, evaluate and counsel personnel. Follow corporate performance management procedures per established Vanguard standards as required. Set performance standards, review performance, provide feedback, and recommend wage increases in accordance with all applicable Human Resources policies and procedures.

2. Leads the creation of new control activities for ESM based upon industry trends and competitive information.

3. Collaborates with and influences ESM business leaders to create, sustain, and strengthen the internal control framework through control identification, implementation and certification.

4. Supports development and execution of key control monitoring to evaluate control effectiveness, including documentation and reporting processes to communicate trends, findings, root causes, and recommendations.

5. Educates crew and management on the importance of operational controls.

6. Supervises audits performed by crew and reviews deliverables.

7. Conducts thorough follow-up on audit issues and their corresponding mitigation strategies.

8. Partners with ESM management in responding to Internal Audit and/or Enterprise Risk Management concerns during their audits/reviews.

9. Presents findings to business management to proactively manage risk, liaising with wiser-enterprise Risk management as required.

10. Hires, evaluates and counsels crew; follows corporate disciplinary procedures per established Vanguard standards as required.

11. Maintains an in-depth understanding of Vanguard and industry knowledge by keeping current on Vanguard, fund, industry, and regulatory events.

12. Participates in special projects and performs other duties as assigned.

Qualifications

  • Bachelor’s degree is required with emphasis in business, finance or accounting preferred, related certification or equivalent combination of training and experience
  • A minimum of 5 years of general business experience, with functional operations management, compliance, risk management, or auditing experience preferred
  • Familiarity with and interest in risk management theory and risk management concepts
  • Ability to educate and coach others on key risk management topics and processes
  • Demonstrated ability to build credibility and influence key functional stakeholders across a range of levels and organizations
  • Demonstrated facilitation and presentation skills
  • Ability to execute critical independent thinking in order to make sound judgments
  • Working knowledge of Excel, Word, PowerPoint, Access

Meet Some of Vanguard's Employees

Megan V.

RFP Specialist, CFP®

Megan is part of Vanguard’s Institutional Sales Group. She ensures that each and every information request is processed before being returned to a prospective client.

Joanna Z.

Technology Leadership Program, Malvern, PA

Joanna takes part in Vanguard’s two-year leadership development program, practicing top-notch tech skills and business acumen application to assist in her long-term career growth goals.


Back to top