RCSA Leader at Vanguard managing risk assessment processes for wealth management solutions. Ensuring effective internal control while engaging with business leaders and risk teams.
Responsibilities
RCSA Program Leadership Develop and manage the end‑to‑end RCSA lifecycle for the Personal Investor business units involved in wealth management advice solutions, educational tools, and financial products.
Ensure RCSA activities align with enterprise risk policies and financial‑sector regulatory guidance.
Establish standardized methodologies and ensure consistent adoption across first‑line teams.
Risk Identification & Assessment Develop and manage workshops conducted by facilitators with business leaders to identify and assess inherent and residual risks such as fraud, cyber risk, AML/OFAC, conduct risk, model risk, privacy, and third‑party risk.
Ensure all risks and controls are accurately mapped to key processes.
Control Evaluation & Assurance Develop and manage workshops to evaluate the adequacy of internal controls supporting operations, regulatory reporting, customer interactions, and transactional processes.
Reporting & Governance Prepare high‑quality RCSA summaries, dashboards, control performance metrics, and risk profiles for senior risk committees, business executives, and regulators.
Provide meaningful insights and trends related to emerging risks, control weaknesses, or concentration areas across business units.
Support governance activities such as risk committee meetings, compliance reviews, and exam preparation.
Stakeholder Engagement Act as a trusted advisor to business leaders, risk partners, compliance, internal audit, and issue management teams.
Educate front‑line and control owners on RCSA requirements, regulatory expectations, and operational risk best practices.
Build strong relationships across first‑line and second‑line functions to ensure a culture of risk awareness and accountability.
Requirements
Minimum of eight years related work experience.
Undergraduate degree or equivalent combination of training and experience.
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