Head of U.S. Audit Services
- Malvern, PA
Drive the impact and future of Internal Audit
Vanguard's Finance division is a talent destination for exceptional financial professionals looking to be part of a best-in-class organization that is one of Vanguard's most trusted voices. The Internal Audit (IA) department which is comprised of approximately 135 crew globally, is a critical line of defense for the organization delivering a consultative and progressive approach to their work.
As the Head of U.S. Audit Services and a direct report to the Chief Audit Executive this position will lead a team of ~20-30 individuals, including 3-4 direct reports with audit coverage of Vanguard's largest lines of business. In addition to mentoring and leading the team, the Head of U.S Audit Services will be responsible for setting the audit plan and strategy for the Internal Audit department's coverage of product distribution, investment advice, client services / account operations.
In this role you will:
- Manage a portfolio of audit coverage and relationships with senior staff and other senior executives. Scope of responsibility includes audit coverage of Vanguard's primary U.S. businesses (Financial Advisor Services, Institutional Investor Group, and Retail Investor Group) for domestic Exchange Traded Fund, Mutual Fund, and other investment product distribution, client services, and brokerage, transfer agent, and retirement plan recordkeeping operations
- Oversee audit reports and other communications to senior management. Assists the Chief Audit Executive in preparing communications to the audit committee of the board of directors. Communicates insights and reporting audit committees of the boards of directors, with specific responsibility for reporting to the Affiliates Audit Committee that governs entities including Vanguard's broker-dealer, registered investment advisor, nationally chartered trust company, and Pennsylvania chartered trust company
- Develop the annual audit plan for areas of responsibility to achieve departmental and corporate objectives commensurate with risk level, while influencing, recommending and implementing solutions
- Coordinate with other Risk Partners, including Enterprise Risk, Compliance, Information Security, Fraud to assess corporate initiatives, strategic decisions, and the top risk focus areas and governance
- Establish strong working relationships with divisional management, as well as PricewaterhouseCoopers and other strategic internal and external business partners
What it takes:
- Undergraduate degree or equivalent combination of training and experience. (BS or BA in a business related field of concentration. Professional certification or advanced degree including CPA, CIA, MBA preferred)
- Minimum of fifteen years of overall business and or finance experience, coupled with 8 plus years in leadership roles specific to internal audit or risk management
- Knowledge and experience of investment management or wealth management business
- Excellent leadership, interpersonal, verbal and written communication, presentation, relationship management
We are Vanguard. Together, we're changing the way the world invests.
For us, investing doesn't just end in value. It starts with values. Because when you invest with courage, when you invest with clarity, and when you invest with care, you can get so much more in return. We invest with purpose - and that's how we've become a global market leader. Here, we grow by doing the right thing for the people we serve. And so can you.
We want to make success accessible to everyone. This is our opportunity. Let's make it count.
Vanguard's continued commitment to diversity and inclusion is firmly rooted in our culture. Every decision we make to best serve our clients, crew (internally employees are referred to as crew), and communities is guided by one simple statement: "Do the right thing."
We believe that a critical aspect of doing the right thing requires building diverse, inclusive, and highly effective teams of individuals who are as unique as the clients they serve. We empower our crew to contribute their distinct strengths to achieving Vanguard's core purpose through our values.
When all crew members feel valued and included, our ability to collaborate and innovate is amplified, and we are united in delivering on Vanguard's core purpose.
Our core purpose: To take a stand for all investors, to treat them fairly, and to give them the best chance for investment success.
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