Sr Mgr., Controls Mgmt - Personal Investor - Brokerage and Investments / Distribution

Vanguard has an exciting opportunity for a Senior Manager, Controls Management role. This person will oversee a team or teams that provides expert-level guidance for Personal Investor - Brokerage and Investments plus Personal Investor - Distribution control-related matters. You will collaborate with business leaders to establish and strengthen a highly effective internal control framework. Additional details below:

Specific responsibilities

• Drive the risk and control strategy across Personal Investor - Brokerage and Investments plus Distribution subdivisions including control ownership, assurance activities (manual and automated), and business accountability.
• Build and maintain a critical and high process inventory that aligns with enterprise risk appetite and regulatory expectations.
• 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.
• Execution of the RCSA program, embedding risk awareness, rigor and ownership throughout the business
• Serve as a key liaison to line of business partners including second line of defense and Internal Audit, ensuring proactive engagement, audit readiness, and issue management.
• 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.
• Creates infrastructure to ensure success of all control projects within and across Personal Investor Brokerage and Investments plus Distribution. Ensures the development and implementation of the internal control framework, and leads complex control identification, design, implementation, and testing. Leads the identification and resolution of complex control gaps and ensures effective design, implementation, and operation of controls across divisions. Identifies and implements actions to increase effectiveness.
• Oversees the consultation to the business on internal and external audit activities and risk mitigation initiatives in response to audit findings. Serves as escalation point for the team in providing high-level consultation, facilitation and analytical support on complex control-related issues, and ensures internal controls are properly aligned and implemented. Supports ongoing maintenance of relationship with Vanguard's external auditor.
• Oversees documentation and reporting of findings. Oversees development and maintenance of monthly dashboards and management reports. Develops risk metrics, dashboards, and reports that are distributed regularly and can be used to identify potential risk mitigation opportunities as well as monitor the effectiveness of risk mitigation activities.
• 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.
• Provides education and leadership to crew around audit and control issues in order to create awareness, education, and compliance.
• Participates in special projects and performs other duties as assigned.

• Minimum of ten years related work experience. Supervisory experience required.
• Undergraduate degree or equivalent combination of training and experience. Graduate degree preferred.
• Deep risk management expertise, control frameworks and operational risk.
• Deep broker-dealer or wealth and investment management experience.
• Experience in line of business risk, control assurance or internal audit, ideally in a regulated financial services environment.
• Strong relationship management and influencing skills across all levels of the organization.
• Ability to analyze data and translate it into meaningful insights and recommendations.
• Experience with GRC platforms (e.g., Archer) is a plus.
• Demonstrated ability to lead through complexity and ambiguity while delivering sustainable outcomes.
• FINRA SIE, Series 7, 63 and 24