Vanguard · 1 day ago
Sr Mgr., Controls Mgmt - Personal Investor - Digital and Analytics
Charlotte, NC
Full-time
Onsite
Senior Level, Lead/Staff
10+ years expVanguard is a leading investment management company focused on the long-term financial wellbeing of its clients. They are seeking a seasoned leader to oversee the Risk & Control Assurance function, responsible for establishing a robust internal control framework and ensuring effective risk management across the organization.
FinanceFinancial Services
No H1B
Responsibilities
Drive the risk and control strategy across Personal Investor - Digital and Analytics subdivision 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 - Digital Analytics. 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
Qualification
Required
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 data management expertise
Experience in digital channels or 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
Strong data literacy and ability to translate data into actionable insights and strategic recommendations
Demonstrated ability to lead through complexity and ambiguity while delivering sustainable outcomes
Preferred
Experience with GRC platforms (e.g., Archer) is a plus
FINRA SIE, Series 7, 63 and 24 are preferred
Company
Vanguard
Check is a client-owned investment company that offers low-cost mutual funds, ETFs, advice, and related services.
Founded in 1975Kelayres, Pennsylvania, USA
10001+ employees
Funding
Current Stage
Late StageTotal Funding
unknownKey Investors
ic@3401
2017-03-31Non Equity Assistance
Leadership Team
Salim Ramji
Chief Executive Officer
Andrew Maack
Principal, Head of US Equity Index Portfolio Management
Recent News
2026-01-20
2025-09-05
2025-03-15
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