Risk Management Consulting, Senior Manager - Finance Risk, Controls, and Governance

Our Senior Manager will design, build, and lead two of our most critical division-level functions: Risk Management Consulting and Governance and Reporting.

They will hire and manage a team of risk leaders and risk practitioners.

They will oversee relationships with Finance's senior leaders as well as leaders from the Vanguard risk community including ERM, Audit, SOX, Compliance, etc.

Team background

We're looking for great talent to help build the Finance Risk, Controls, and Governance (RC&G) team. RC&G is a trusted advisor, committed to the measurable improvement of Finance's overall risk posture. We advise and empower Finance leaders and crew to properly assess and control risk on a day-to-day basis.

Our Purpose:

The teams within Risk, Controls, and Governance (RC&G) partner with Finance to provide risk, control, and governance insights that allow for informed decision making, the achievement of business value, and the protection of shareholders' interests.
Our Capabilities:

  • Risk Management Consulting

    - Provide risk guidance and assistance to business leaders

  • Governance and Reporting

    - Drive action by providing a holistic view of risks across Finance

  • Access Management

    - Assist leaders and crew with safeguarding client and company data by managing identity and access

  • Business Continuity

    - Ensure business leaders and crew security capabilities to effectively respond, recover and restore operations

  • Data Governance

    - Support business accountability of their critical data by assisting our partners with understanding what their data is, who is using it and how it is being used

Role Overview

Our Senior Manager will design, build, and lead two of our most critical division-level functions:

Risk Management Consulting


Governance and Reporting


Risk Management Consulting -
  • Management of divisional issues and events
  • Prioritized inventory of processes & controls
  • Risks assessments and control testing / gap remediation - project-based and BAU
  • Educate crew on risk concepts and best practices

Governance and Reporting -
  • Risk & control metrics and insights for MD-level governance meetings
  • Risk maturity via foundational scorecard
  • Enterprise risk partner agendas and perspectives
  • Risk insights via trending and analysis of issues and events

Role Requirements

To lead this mission, we're looking for a:
  • Leader of leaders comfortable pushing an already high-performing team to new levels of achievement.
  • Conceptual thinker who can synthesize input from a wide variety of clients and stakeholders
  • Relationship manager with a keen focus on value creation for our clients
  • Integrator who can align multiple groups and efforts across our decentralized risk community

Candidate should bring:
  • Demonstrated experience in building a high-functioning team including recruiting and crew development as well as team strategy refinement and operating model construction
  • Strength in relationship management and communication with senior leaders across a wide variety of disciplines - consulting experience a plus
  • Experience in risk management throughout the lines of defense or a proven ability to move quickly up the learning curve

Duties & Responsibilities:

  • Manages exempt-level staff. Provides guidance, training and motivation as necessary to develop staff. Hires, evaluates and counsels personnel. Administers disciplinary action when appropriate in accordance with corporate guidelines. Sets performance standards, reviews performance, provides feedback, and recommends wage increases in accordance with all applicable Human Resources policies and procedures.
  • Serves as point of contact for sub division department head. Maintains strong relationships with leadership of aligned sub division. Responsible for leading risk governance meetings and driving a strong risk culture across sub division.
  • Implements corporate risk and control management standards within sub division's processes. Identify and prioritize existing and emerging risks and advise on appropriate control design and testing. Effectively communicates strategies and plans to all appropriate parties. Strikes a balance between protecting Vanguard and crew and client experience.
  • Ensures that sub division has an appropriate level of review of key controls, and can evidence that key controls are designed and operating effectively in accordance with established standards.
  • Develops, maintains and evolves a comprehensive program for monitoring and analyzing controls, including supporting data, tools and technology. Establishes metrics, dashboards, and reports that are distributed regularly and can be used to identify potential control opportunities, as well as monitor the effectiveness of the controls in place. Reports to department leadership on controls across the department.
  • Supports business by assisting with the timely development of new policies and procedures, and ensuring and evidencing new processes are in control.
  • Provides expertise for support of audit activity. Provides holistic view of all internal and external audits and serving as a point of contact for auditors. Drives business toward positive outcomes.
  • Ensures issues and events are being managed effectively. Works with business to proactively identify issues. When issues and events occur, responsible for tracking and driving business to resolution.
  • Partners with sub division leadership team to ensure business risk and control decisions are made during the design and development of technology and service or operating model changes. Proactively raises and executes a plan to address key issues.
  • Coordinates and works closely with Legal, Compliance, Enterprise Risk, and Audit to develop processes for managing business risks, execution of controls and oversight, ensuring business practices comply with regulatory procedures. Develops effective working relationships with contacts throughout the company on a variety of risk-related issues.
  • Partners with ERM to advance understanding in the field of business risk and control management. Stays abreast of the latest ERM tools. Shares knowledge and champions the implementation of business risk and control management best practices.
  • Participates in special projects and performs other duties as assigned.


  • Undergraduate degree or equivalent experience. Graduate degree preferred.
  • Minimum of eight years progressively responsible Operations Management, Compliance, Risk Management, or Auditing experience from which was attained an expertise in internal control management.
  • Minimum of two years related management experience with demonstrated leadership skills.
  • Well rounded understanding of Vanguard's business, operations, and technology as well as risk and compliance.
  • Blend of operational/business control and process skills with sound business judgment, able to apply practical thinking in weighing the potential for risk against business decisions.
  • Broad conceptual thinker with a practical orientation and ability to translate complex risk concepts into executable programs and to align operational controls with business objectives.
  • Communication and influence skills, able to navigate, persuade and build buy-in across a matrix structure.
  • Excellent relationship management, communication, and analytical skills required.

Meet Some of Vanguard's Employees

Claire O.

Brokerage Investment Professional, Malvern, PA

Claire ensures that Vanguard clients have all the important and necessary industry information in order to make the best decisions for their personal investments.

Mohammad S.


Mohammad helps build digital website tools that answer important questions for company clients in an effort to eliminate lengthy phone calls for easily answerable questions.

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