Front Office Investment Audit Specialist

Vanguard's Global Investment Audit Services team has an exciting new opportunity for a Front Office Investment Audit Specialist. You will part of a newly created global investments center of excellence within Internal Audit. You will perform risk-based and advisory engagements across a breadth of portfolio management, trading, and risk management areas, to evaluate management's internal control environment. You will work in a team environment and have significant exposure, working directly with the front-office.

Highly preferred are individuals who understand or have had exposure to portfolio management and trading processes; this includes trade execution and trade support. An ideal candidate will have strong conceptual thinking, intellectual curiosity, and analytical skills. Candidates should be comfortable working both independently and within a team, and able to draft and deliver clear communications for various levels of management.

Global Investment and Financial Audit Services provides audit and advisory services supporting investment management, external advisors, investment accounting and administration, corporate finance and accounting and enterprise risk management processes. We are hard-working highly motivate and engaged professionals who consistently deliver high-quality work in a dynamic team environment.
The Internal Audit department is a part of the Finance division, which is home to crew and leaders who drive sustainable value across the global enterprise. Our high caliber professionals serve as trusted and influential strategic partners to business leaders across the organization in the areas of financial modeling, fiscal responsibility, product development and administration, risks and controls, real estate and facilities management, and enterprise supply management. Internal to the Finance division, high caliber professionals in our Finance Transformation group lead the division to future state operating models through leadership of large scale global transformations.

Primary Duties and Responsibilities:

  • Performs complex work for risk-based audits and advisory engagements for the

    portfolio management trading area within the investment management group.

  • Communicates with various levels of management (within the department and with the client) to discuss engagement progress and results.
  • Participates in client discussions throughout the engagement and executes audit and advisory work, including assessment of risk and effectiveness of controls based on relevant knowledge and experience.
  • Prepares and delivers high-quality internal work papers and client facing deliverables such as process/control narratives, flowcharts, testing documentation, conclusions, recommendations and audit report findings to be shared with the audit team and clients.
  • Communicates expectations to auditors and provides meaningful feedback to help develop auditors by identifying and communicating areas for improvement in a timely manner.
  • Acts as a mentor to less experienced auditors.
  • Actively participates in special projects and department initiatives, as needed.

    The Ideal Candidate Should Possess:

  • Undergraduate degree in a business related field of concentration or equivalent combination of training and experience. Professional certification (IMC, CAIA, FRM, CFA) or advanced degree (e.g., MBA, CPA, ACA, ACCA, CIA) is a plus.
  • Experience in audit, risk or controls (i.e. operational audits, internal audits, advisory/consulting, controls/compliance/legal) with experience gained in front office asset management activities preferred. Strong candidates with trading/markets experience from banks will also be considered.
  • Working knowledge of and demonstrated interest in the financial services industry.
  • Demonstrated ability to function in fast paced, ambiguous environment working with multiple and diverse responsibilities.
  • Strong conceptual thinking aptitude.
  • Excellent time and project management and strong relationship management skills.
  • Strong interpersonal skills, including: written and verbal communications, willingness to assist in areas outside of direct assignments when necessary, and commitment to self-improvement and completion of team objectives.


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