Senior Manager, Controls Management

Summary

We are seeking a seasoned and strategic senior leader to serve as the Control testing leader, an existing leadership role, that is critical to building and scaling a comprehensive risk and control function within the Personal Wealth division. The individual in this role will lead the design, execution, and evolution of processes to complete testing of business controls, complete documentation of business controls, and manage certain external audit examinations. The role will serve as a senior interface with the second line of defense, internal and external audits, ensuring alignment, transparency, and proactive risk management across the enterprise. This is a high-impact opportunity for a risk leader who thrives in complexity, builds strong partnerships, and brings clarity and structure to evolving environments.

Specific Responsibilities:

• Drive the control testing and documentation strategy across Personal Wealth including control ownership, assurance activities (manual and automated), and business accountability.
• Champion Control Automation and emerging technologies to strengthen control execution and reduce risk.
• Define and embed Control Accountability across business teams, ensuring clarity of ownership and control execution.
• Engagement with the RCSA program to identify and prioritize control documentation and testing.
• Deliver robust reporting and insights on control health and risk posture to senior leaders, enabling data driven decision making.

• Hires, evaluates, and supervises crew. Provides guidance and training as necessary to develop crew. Sets performance standards, reviews performance, and makes informed compensation decisions in accordance with all applicable Human Resources policies and procedures.
• Owns departmental relationships with key internal and external stakeholders. Promotes collaboration with other departments sharing best practices regarding key controls to influence and effectively communicate control solutions to all appropriate parties.
• Provides leadership and strategic direction to develop, implement, and manage comprehensive control management programs for the business unit and the enterprise.
• Builds and maintains awareness of risk and control topics. Understands broad industry and Vanguard trends regarding risk and control and adjusts business operations as required. Demonstrates high level of competency and thought leadership in field of expertise.
• Manages efficiency and effectiveness within the department. Sets measurable goals and examines ways to raise standards, improve quality, and improve overall performance of the department. Monitors departmental progress and measure departmental success. Ensures team maintains appropriate credentials (aligned with external audit standards) to assess, monitor and test financial reporting key controls.
• Participates in special projects and performs other duties as assigned.

• Minimum of twelve years related work experience.
• Undergraduate degree or equivalent combination of training and experience.

• Supervisory experience preferred.
• Graduate degree preferred.
• Professional certifications (CPA, COSO, CIA, CISA) preferred.