Senior Manager, Divisional Risk

The

Personal Investor Risk

team supports Personal Investor; Vanguard's retail brokerage and advice platform. The

Senior Manage

r,

Divisional Risk

role will lead a team that supports the objectives of the

Client Experience

and Digital (CXD) sub-division of

Personal Investor

through risk management. This role will partner with the business to identify and remediate top risks, establish risk tolerance, and establish a blueprint for the continued maturation of the CXD risk program.

Core Responsibilities

• Manages staff. Develops, mentors, and provides guidance, training, and motivation, as necessary. Conducts regular one on one and staff meetings. Hires, evaluates, and counsels crew. Follows corporate disciplinary procedures per established Vanguard standards as required. Sets performance standards, reviews performance, provides feedback, and recommends wage increases in accordance with all applicable Human Resources policies and procedures.
• Provides risk guidance, oversight, and assurance services to the enterprise and partners based on the operational and strategic risk framework. Seeks ideas and perspectives from across the divisions or business units to improve oversight capabilities and maintains strong relationships with key stakeholders.
• Implements and manages risk and control management standards within the division's processes. Identifies and prioritizes existing and emerging risks and advises on appropriate control design and testing. Effectively communicates strategies and plans to all appropriate parties.
• Ensures that the division has an appropriate level of review and key controls, and that key controls are designed and operating effectively in accordance with established standards.
• Provides consultation and analytical support to key stakeholders as needed, and ensures internal controls are properly implemented without compromising client service.
• Partners with the division's leadership team to ensure business risk and control decisions are made during the design and development of technology and service or operating model changes. Proactively raises and executes plans to address key issues.
• Develops, maintains, and evolves a comprehensive program for monitoring and analyzing controls. Establishes metrics, dashboards, and reports that are distributed regularly and can be used to identify potential control opportunities, as well as monitor the effectiveness of the controls in place. Reports to department leadership on controls across the department.
• Develops and maintains broad knowledge and awareness of the investment industry, risk management practices, and regulatory and/or policy changes. Serves as a subject matter expert on risk management discussions.
• Participates in special projects and performs other duties as assigned.

• Minimum of eight years related work experience. Supervisory experience preferred.
• Undergraduate degree or equivalent combination of training and experience. Graduate degree preferred.