Senior Controls and Governance Advisor, Advice & Wealth Management

Join the new Controls and Governance department as a highly skilled and motivated senior controls leader within the Advice and Wealth Management (AWM) Division. Reporting to the AWM Head of Controls and Governance, this leader will build and lead a team that provides controls expertise to support AWM. They will play a key role in developing solutions to business challenges and conducting analysis to help management proactively address potential risks to the firm or investors. The role requires close collaboration with business leaders and risk partners, including Compliance, Risk, and Internal Audit. The team will be essential in ensuring effective risk management, robust processes and controls, strong oversight, and operational resilience. This leader will also drive the development and implementation of a divisional framework that promotes strong governance and a sustainable risk and control environment for both current and future business needs.

• Provide risk guidance, oversight, and assurance services to enterprise and divisional partners based on the Vanguard's operational and strategic risk framework. Ensures the development and implementation of effective divisional risk controls.
• Leads and manages the efficiency and effectiveness of risk management within the business. Sets measurable goals and examines ways to raise standards, to increase quality and to improve overall risk management efforts of the team. Measures departmental success in identifying and managing risk exposure and identifies and prioritizes existing and emerging risks and advises on appropriate control design and testing.
• Leads and assists the business in the development, implementation and management of long-term risk management strategies in accordance with department goals and objectives, standard risk management policies and procedures, and the overall risk strategy.
• Works with the business to mitigate risks and optimize process efficiency. Uses expert industry best practice knowledge to design effective controls and makes recommendations for developing new risk management strategies for the business. Provides consultation, facilitation and analytical support to the divisional management team as new products, services, processes and procedures are developed to ensure risk is properly mitigated.
• Develops and maintains strong relationships with enterprise and divisional clients to understand their ongoing risk needs. Acts as a thought partner to the business.
• Assesses the design of existing controls and make recommendations, leverages industry best practice for improvement as needed. Understands the risk management framework and utilizes the core concepts when discussing risk exposures with the business.
• Participates in special projects and performs other duties as assigned.

• Minimum of six years' related work experience.
• Proven experience in risk management, controls internal auditing, or regulatory compliance.
• Consulting or Professional Services background helpful.
• Experience with advice and wealth management business preferred.
• Strong understanding of regulatory requirements and industry standards.
• Excellent analytical and problem-solving skills.
• Effective communication and interpersonal skills.
• Ability to work independently and as part of a team.
• Undergraduate degree or equivalent combination of training and experience. Graduate degree preferred.