Senior Auditor, Audit Services - Investment Management Group
Vanguard has an exciting new opportunity for a Senior Auditor for our Investment Management Group. This position is located at our corporate headquarters in Malvern, PA (greater Philadelphia area). This person 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. They will perform engagements and assist in the daily project management of engagements. The Senior Auditor will build and maintain positive, working relationships within the department and with clients.
Primary Duties and Responsibilities:
- Performs complex work for risk-based audits and advisory engagements (including research, evaluation and analysis, testing and reporting) on topics related to risk, governance, process, technology, controls, and operating practices of assigned engagements.
- Communicates with various levels of management (department and client) to discuss engagement progress and results. This includes identifying opportunities to strengthen processes/controls and related remediation efforts. Effectively builds relationships with business process owners and management.
- 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. Encourages healthy debate and collaboration among the audit team.
- Prepares and delivers high-quality internal workpapers 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. Applies relevant industry acumen including best practices, established standards, regulatory and global impact considerations in order to provide recommendations to business management.
- Communicates expectations to auditors and provides meaningful feedback to help develop auditors by identifying and communicating areas for improvement in a timely manner. Executes the day-to-day project plan and performs detailed review of other team members' work.
- Acts as a mentor to less experienced auditors by coaching on internal audit processes and methodology as well as business lines and supporting technology.
- 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.
- Flexibility to travel with work (USA, London, Australia) up to 20%.
Meet Some of Vanguard's Employees
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.
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