Controls & Governance Advisor, Sr Specialist

Join Vanguard's new Controls and Governance department as a highly skilled and motivated Senior Controls & Governance Advisor within the Advice and Wealth Management (AWM) Division.

You 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. This 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.

 Responsibilities:

• Provide controls and governance guidance, oversight, and assurance services to enterprise and divisional partners based on Vanguard’s enterprise risk and control standards. Ensures the development and implementation of effective business controls.
• Leads and manages the efficiency and effectiveness of controls and governance within the business. Sets measurable goals and examines ways to raise standards, to increase quality and to improve overall business outcomes. Measures departmental success in identifying and managing potential exposures and identifies and prioritizes control gaps or improvement opportunities and advises on appropriate control design and testing.
• Leads and assists the business in the development, implementation and management of long-term control and governance strategies in accordance with department goals and objectives, enterprise policies and procedures, and the overall approach to managing uncertainty and potential tradeoffs.
• Works with the business to establish effective controls and optimize process efficiency. Uses expert industry best practice knowledge to design effective controls and makes recommendations for developing new mitigation 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 tradeoffs are considered and business processes are properly controlled.
• Develops and maintains strong relationships with enterprise and divisional clients to understand their ongoing needs. Acts as a thought partner to the business on matters of control and governance.  
• Assesses the design of existing controls and make recommendations, leverages industry best practice for improvement as needed. Understands enterprise frameworks and utilizes the core concepts when discussing potential exposures with the business.  
• Participates in special projects and performs other duties as assigned.

Qualifications:

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