Internal Audit Senior Regulatory Manager

Within the organization, the Internal Audit department is seen as a critical line of defense for the organization. The team is comprised of hard-working, highly motivated, and technically skilled professionals who consistently deliver high-quality work in a dynamic environment. The team also promotes a flexible and well-balanced work environment. Senior Audit Managers play a significant role in the development and execution of the audit plan for one's business area of focus. Individuals in this role demonstrate professional curiosity, have a continuous improvement mindset, possess the desire/aptitude to rapidly learn new skills and exemplify the highest degree of trust and integrity. The Internal Audit department is segregated into multiple teams focusing on Vanguard's US client facing businesses, global operations and technology.

This candidate would work primarily within the US Audit Services Team serving as a regulatory subject matter specialist for our US facing businesses and may be asked to assist in other audits outside of the team. Knowledge of the investment management business, financial services industry, risk and controls acumen will be expected, including regulatory knowledge of the key provisions and guidelines established by regulators such as FINRA, the Securities and Exchange Commission, Office of Comptroller of the Currency, Department of Labor and MSRB. The candidate will execute and lead projects and audits across our US client facing business providing regulatory and compliance knowledge to our teams and business partners as we plan and scope our work.

Duties and Responsibilities

  • Serves as an internal consultant to the business and technology auditors across the audit group regarding business risks. Applies a significant depth of expertise in business and/or technology risk and control related matters to enable audit teams and ensure risk is properly evaluated in audit work. Leverages technical business expertise to influence appropriate audit coverage and assurance, such as investment instruments and product intricacies, regulatory considerations on a global scale (including the broker-dealer landscape) and/or Sarbanes-Oxley depth.
  • Owns a portion of the audit plan and the associated senior business leader relationships. Manages, plans and executes the audit activities for the business areas assigned. Develops the audit strategy for specific audits that includes clearly defined identification of risks, control objectives, and audit approach. Directs the preparation of or prepares detailed audit activities to be performed to accomplish the audit strategy.
  • Leads and manages complex audit projects for the organization assessing business and technology risks. Serves in an advisory capacity in support of enterprise-wide initiatives related to new business ventures and technologies (Vanguard programmatic strategic initiatives) being implemented locally and or globally.
  • Leads discussions and consults with audit, business and technology leaders to assist in the development of an annual plan. Works closely with all levels of management in the planning, development and execution of short and long term goals. Demonstrates initiative and creativity in independently recommending and implementing solutions.
  • Evaluates audit results ensuring the quality of the audit activities and the audit requirements are met in adherence to the professional standards of internal auditors and in keeping with our position as the independent third line of defense for the organization. Ensures audit deliverable is accurate, complete, and addresses key risks.
  • Performs research to understand new business activities, technologies, data, associated risks, and the application to Vanguard's business and technology environment to support specialized topics across multiple domains.
  • Participates in special projects and performs other duties as assigned.

Qualifications

  • Undergraduate degree or equivalent combination of training and experience. CPA, CIA, CFA or MBA also preferred as related to one's area of expertise.
  • Eight to ten years of experience in the audit profession required; five years of project management experience with experience in shaping / implementing future strategies preferred.
  • Excellent leadership, interpersonal, verbal and written communication, presentation, and problem solving skills.
  • Ability to lead and motivate others.
  • Experience in situations requiring diplomacy and negotiation.
  • Strong client focus and relationship skills.
  • Advance organization integration.

Special Factors

Vanguard is not offering visa sponsorship for this position.


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