Senior Auditor, Intermediary Business

Within the organization, the U.S. Audit Services team is seen as a critical line of defense for the Institutional, Retail and Financial Advisor Services divisions. 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 Auditors play a significant role in the leading and executing the audit plan for one’s business area of focus and providing business management with insight on risk, control and process improvements. Individuals in this role demonstrate professional curiosity, have a continuous improvement mindset, possess the desire/aptitude to rapidly learn new skills and concepts and exemplify the highest degree of trust and integrity.

Working in Internal Audit will provide you with the opportunity to work with audit teams in operational, financial, regulatory, and informational technology areas, allow you to participate in cross-department and divisional projects (i.e. involving multiple senior leaders and businesses), and expose you to strategic and enterprise-level risks and controls. The role requires ongoing collaboration with our audit teams, as well as our key risk partners across the organization and business management. The role offers a great opportunity to learn and apply transferable knowledge (risk and controls) and skills (influence, critical thinking, and relationship management).

Primary Duties and Responsibilities:

  • Conducts audit interviews to determine the scope of the audit and testing approach. Uses critical analysis and strategic thinking when developing audit programs, focusing on key risks and fraud.
  • Leverages audit teams’ skill set, experience, and creativity to ensure work is complete, accurate, and timely. Provides meaningful feedback to help develop staff by identifying and communicating areas for improvement in a timely manner.
  • Communicates with the business areas and other risk assurance providers to continually improve relationships and proactively manage any possible risk.
  • Prepares high-quality audit reports and other audit documentation and provides recommendations to Internal Audit and business management.
  • Works collaboratively with the team to anticipate and provide sound solutions to issues.
  • Develops and maintains an understanding of constituent business areas, related technology, products, supporting functions, and related risks. Continues to update knowledge of industry standard practices and regulations by leveraging training and conducting research.
  • Acts as a mentor to less experienced auditors by training them on Internal Audit processes and methodology as well as business lines and related systems.
  • Participates in special projects and additional duties as assigned.

The Ideal Candidate Should Possess:

  • Undergraduate degree or equivalent combination of training and experience. (BS or BA in a business related field of concentration preferred).
  • A minimum of three to five years audit experience.
  • Project management skills.
  • Proficiency in Word and Excel preferred.
  • Progress toward obtaining a professional certification or advanced degree (e.g., CPA, CIA, MBA).
  • Excellent interpersonal, verbal and written communication, and problem solving skills.
  • Strong problem solving skills.
  • Strong client focus/relationship skills.
  • Strong time management skills.

Special Factors

Vanguard is not offering visa sponsorship for this position.

Back to top