Head of Risk & Control Assurance, Personal Investor

Overview
We’re seeking a seasoned and strategic senior leader to serve as the Head of Risk & Control Assurance, a newly established leadership role critical to building and scaling a comprehensive risk and control function within the Service & Operational Excellence (S& OE) organization.  This executive will lead the design, execution, and evolution of an integrated risk and control ecosystem including oversight of line of business risk, control assurance, and control self-assessments. 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.

Responsibilities

• Drive the risk and control strategy across Personal Investor: 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.
• Lead the design and 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.
   

Qualifications

• Minimum of ten years related work experience. Supervisory experience preferred.
• Undergraduate degree or equivalent combination of training and experience. Graduate degree preferred.
• Deep risk management expertise, control frameworks and operational risk.
• 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.
• Exceptional relationship management and executive communication skills to influence across functions and lines of defense.
• Strong data literacy and ability to translate data into actionable insights and strategic 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 are required.

Why This Role Matters

As Personal Investor, SO&E continues to evolve, this role will be instrumental in shaping a disciplined, transparent, and resilient risk culture. You’ll drive enterprise-wide accountability, enhance audit and regulatory engagement, and lead the build out of a future forward control environment that enables growth and protects the business.

Special Factors

Sponsorship

About Vanguard

At Vanguard, we don't just have a mission—we're on a mission.

To work for the long-term financial wellbeing of our clients. To lead through product and services that transform our clients' lives. To learn and develop our skills as individuals and as a team. From Malvern to Melbourne, our mission drives us forward and inspires us to be our best.

How We Work

Vanguard has implemented a hybrid working model for the majority of our crew members, designed to capture the benefits of enhanced flexibility while enabling in-person learning, collaboration, and connection. We believe our mission-driven and highly collaborative culture is a critical enabler to support long-term client outcomes and enrich the employee experience.