Senior Brokerage Operations Audit Manager

Vanguard has a Senior Brokerage Operations Audit Manager opportunity available in our U.S. Audit Services group in Malvern, PA. The Senior Brokerage Operations Audit Manager will play a key role in all phases of engagements and will interact with senior leadership across the organization. This position provides a refreshing opportunity to use your back-office brokerage experience to help improve the control environment and mitigate risk within the organization. We as audit professionals are seen as a critical line of defense for our retail brokerage business.

Our retail business doesn't function or flourish without a well-functioning and properly secured back-office brokerage group. In this role, you'll assess risks and effectiveness of controls based on your inherent brokerage knowledge and experience, and use your robust expertise to provide advice and consultation to senior leaders within the retail business.

Vanguard's audit department is comprised of highly motivated, and technically skilled professionals with strong business acumen who consistently deliver high-quality work. In addition, this highly collaborative team promotes a flexible and well-balanced environment, with minimal travel.

The Strategy and Finance division is home to Vanguard's experts in Corporate Financial Services, Fund Financial Services, Internal Audit and Corporate Strategy. Our crew are high caliber professionals who provide financial and decision support leadership to all businesses at Vanguard across the globe. Integrity is key - as stewards of fund assets and Vanguard's assets, we must protect data, mitigate risk, stay competitive, and proactively establish business initiatives, all while returning value to clients. Strategy and Finance is a talent destination for exceptional financial minds looking to be part of a best-in-class organization that is one of Vanguard's most trusted voices.

Duties and Responsibilities

-Responsible for a business line/segment of the audit plan which includes being accountable for the related annual/ongoing risk assessments, assisting in determining the audit and advisory plan as well as determining resource needs. Establishes and maintains relationships with management across aligned division and risk partners (including legal, compliance, info security, fraud).
-Manages overall audit and advisory engagements to ensure the timely delivery of the highest quality work and value-add recommendations. May oversee multiple engagement teams concurrently working in a matrixed team environment.
-Develops a thorough and comprehensive understanding of the processes, issues, pertinent regulations and risks associated with engagement scope. Assesses the adequacy of the control environment, identifies control gaps and opportunities for continuous improvement and relates it division and enterprise-wide, as appropriate. Performs audit work and analysis on complex audit areas. Provides opinion on audit and advisory findings, ratings and recommendations to senior management.
-Effectively communicates and clearly articulates the objectives, status and results of assigned work, both orally and in written form, to various levels of management. Influences senior management (department heads and officers) to act on recommendations to strengthen the control environment and make process improvements.
-Serves as trusted advisor and consultant to the department and business leaders to share knowledge and perspective on topics related to governance, risk, control and areas of expertise.
-Participates, and at times leads, team, department and/or divisional projects to effectively deliver on operational and strategic goals.
- Communicates expectations and reviews work of audit team to provide coaching and feedback to aid in their development.
- Recruits, trains, and develops auditors to ensure that an efficient and high standard of auditing is maintained.


  • Undergraduate degree in a business related field of concentration or equivalent combination of training and experience. Professional certification or advanced degree (e.g., CPA, CIA, MBA) is a plus.
  • Eight to eleven years of experience within the financial services industry.
  • Experience in audit, risk or controls (i.e. operational audits, financial statement audits, internal audits, advisory/consulting, controls/compliance/legal) with four or more years of previous project management experience preferred.
  • Ability to present findings and industry insights to senior leaders across the company.
  • Strong conceptual thinking aptitude and ability to persuade and influence others.
  • Demonstrated ability to work in a complex, dynamic, and fast-paced environment with strong inherent project execution skills, including: prioritizing tasks, balancing workload between multiple projects, anticipating next steps, adapting to changing situations and project scope.
  • 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.
  • Experience in situations requiring diplomacy. Strong negotiation skills.
  • Excellent relationship skills and client focused mindset.

Special Factors

Vanguard is not offering visa sponsorship for this position.

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