Senior Auditor, Audit Services - Investment Management Group

The Finance division 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.

Our strong focus on value creation across the enterprise is equaled by our unwavering commitment to creating a culture and environment that maximizes the impact and potential of crew, and develops future generations of leaders in the organization.
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.

Internal Audit has an exciting new opportunity for a Senior Auditor for our Investment Management Group. 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.

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