Senior Principal Financial Analyst developing specialized tax analysis and compliance strategies for FINRA. Leading projects that enhance tax accounting practices and drive regulatory compliance within the organization.
VA
Hybrid Senior Manager, Controls Management – Personal Investor, Brokerage and Investments / Distribution
Posted 3 months ago
About the role
- Senior Manager, Controls Management role at Vanguard, overseeing control-related matters in Personal Investor segments. Collaborating with leaders to establish an effective control framework in a hybrid environment.
Responsibilities
- Oversee a team that provides expert-level guidance for Personal Investor - Brokerage and Investments plus Personal Investor - Distribution control-related matters
- Collaborate with business leaders to establish and strengthen a highly effective internal control framework
- Drive the risk and control strategy across subdivisions
- Build and maintain a critical and high process inventory that aligns with enterprise risk appetite and regulatory expectations
- Champion Control Automation and emerging technologies
- Define and embed Control Accountability across business teams
- Execute the RCSA program
- Serve as a key liaison to line of business partners and ensures proactive engagement
- Deliver robust reporting and insights on control health and risk posture to senior leaders
- Hire, evaluate, and supervise crew
- Create infrastructure to ensure success of all control projects
- Ensure the development and implementation of the internal control framework
- Lead the identification and resolution of complex control gaps
- Oversee development and maintenance of monthly dashboards and management reports
Requirements
- 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
Benefits
- Hybrid working model
- Comprehensive control management programs
- Education and leadership around audit and control issues
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