Finance Controls Manager

Vanguard, one of the world’s largest investment management companies and a recognized employer of choice, seeks a Finance Controls Manager to serve as the Controls manager, supporting business initiatives and leading projects focused on the implementation of control solutions. This role will play a large part in an effort to implement the Sarbanes-Oxley framework and the ongoing sustained oversight of the program.

Duties and Responsibilities

1. Provides leadership and strategic direction to develop, implement, and manage comprehensive control management programs for the business unit. Links control management programs with Enterprise Risk Management.

2. Manages projects with broad scope and high complexity within and across business groups that require action to maintain a best-in-class control environment, and support business objectives. Creates project plans and timelines, determines resource requirements, manages day-to-day aspects of the project plan, gathers and incorporates business feedback, and facilitates change and communication planning.

3. Acts as a consultant for management team to draw on for advice and guidance regarding proposed processes and procedures to ensure internal controls are appropriately implemented without compromising process integrity. Identifies and evaluates operational risks and exposures of business objectives, process workflows, and service initiatives. Identifies and resolves problems in a timely manner and demonstrates excellent judgment and decision quality. Recognized by others across the business as a resource; a person who can resolve issues, accomplish objectives, and provide consultative insight.

4. Takes an active role in developing, implementing, and providing ongoing solutions with business leaders. Facilitates forums with business stakeholders and internal partners to accelerate and improve decision making on regulatory risk topics in the business. Provides communication to drive consistent and sustainable change in business practices.

5. Partners with department/divisional leadership to analyze multi-varied business needs and develop a controls change plan that ensures seamless implementation of each deliverable and business readiness.

6. Establishes and maintains effective working relationships with department, division and executive management by assisting in the identification, assessment, mitigation, and monitoring of operational risks, providing education, and reporting results. Assists business partners and business units in defining and implementing controls, and improving local efforts to ensure appropriate risk mitigation.

7. Maintains awareness of risk and control topics. Seeks to understand broad industry and Vanguard trends regarding risk and control and determines applicability to the operation. Demonstrates high (learning curve appropriate) level of competency/thought leadership in field of expertise. Brings new ideas to the table that will contribute to the further evolution of controls. Attends, and presents at, professional industry conferences.

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



  • Bachelor’s degree with emphasis in business, finance or accounting, related certification or equivalent combination of training and experience.
  • Minimum of five years of mutual fund, regulatory and/or internal control experience including project management or consulting experience. A minimum of five years of general business experience. Experience in operations management, compliance, risk management, or auditing experience from which knowledge of internal control and risk management was obtained, is preferred.
  • Experience implementing and/or managing a Sarbanes Oxley program preferred
  • Excellent relationship management, communication, and analytical skills required.
  • Familiarity with risk management theory and experience in applying risk management concepts.
  • Excellent verbal and written communication skills. Excellent presentation skills.
  • Excellent negotiation, influencing, problem solving, and conflict resolution skills.
  • Demonstrated ability to work independently and establish work priorities with minimal guidance from management.
  • Demonstrated ability to deal effectively and professionally with people of all levels.


Special Factors

Vanguard is not offering visa sponsorship for this position.

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