Workday Financials consultant optimizing Spend Management for global clients post - go - live. Delivering functional expertise and best - practice guidance while ensuring effective spend operations.
VA
Hybrid Senior Manager, Controls Management – Personal Investor, Brokerage and Investments / Distribution
Posted last month
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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