IT Risk and Compliance Inspection Lead at Vanguard responsible for developing compliance oversight for IT, AI, and Cybersecurity risks. Conducting inspections and assessments while advising the business on compliance-related issues.
Responsibilities
Establishes the methodology, implementation, execution, and maintenance of the inspection approach for IT and AI related compliance risks as documented within compliance policies and procedures.
Supports the development of new compliance oversight approaches and methodology.
Completes routine monitoring and testing.
Leads investigations of alleged violations of Vanguard's ethical standards and noncompliance with applicable laws, regulations and corporate policy issues.
Serves as a partner to the business, and interfaces regularly with business area stakeholders and internal risk, audit, and compliance partners.
Identifies, socializes and prepares written inspection and assessment reports and provides recommendations for corrective action.
Provides guidance to mitigate compliance risks and control gaps.
Recommends corrective action plans for resolution of problematic issues.
Recommends practices to reduce potential for violations and noncompliance.
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