Vanguard
Director, Controls and Governance (Advice & Wealth Management)
Vanguard, Charlotte, North Carolina, United States, 28245
Director, Controls and Governance (Advice & Wealth Management)
Join the Controls and Governance department within the Advice and Wealth Management (AWM) Division. Reporting to the AWM Head of Controls and Governance, this senior controls leader will build and lead a team that provides risk and controls expertise to support AWM. The role involves developing solutions to business challenges, conducting analysis to help management proactively address potential risks to the firm or investors. The position requires close collaboration with business leaders and risk partners, including Compliance, Risk, and Internal Audit. The team will ensure effective risk management, robust processes and controls, strong oversight, and operational resilience. The leader will drive the development and implementation of a divisional framework that promotes strong governance and a sustainable risk and control environment for current and future business needs.
Core Responsibilities
Leadership: Hire, evaluate, and supervise staff; provide guidance and training; set performance standards; review performance; communicate observations and work with business leadership on risk and controls management strategies.
Oversight: Provides oversight of business unit controls; maintain relationships with key stakeholders; promote a culture of governance and accountability.
Control Design and Monitoring: Partner with stakeholders to implement and monitor an effective system of controls; conduct root cause analysis and remediation when gaps are identified; establish metrics, dashboards, and insights.
Stakeholder Management: Collaborate with division leadership and risk partners to ensure risk and control matters are considered in new and existing operations, technology, and oversight processes; proactively address risks.
Policy Management: Develop and implement internal control policies and procedures; maintain and monitor policies.
Consultation and Analytical Support: Advise on risk management approaches; respond to risk events to identify root cause and themes; propose solutions and ensure remediation within risk tolerance.
Training and Awareness: Develop knowledge of wealth and investment industry, risk and control practices, regulatory or policy changes; act as subject matter expert and trainer.
Special Projects: Participate in special projects and perform other duties as assigned.
Qualifications
Minimum of eight years related work experience; leadership experience required.
Bachelor’s degree in Finance, Business Administration, or related field; advanced degree preferred.
Proven experience in risk management, internal auditing, or compliance.
Strong understanding of regulatory requirements and industry standards.
Excellent analytical and problem-solving skills.
Effective communication and interpersonal skills.
Ability to work independently and as part of a team.
Special Factors Sponsorship: Vanguard is not offering visa sponsorship for this position.
About Vanguard Vanguard is a mission-driven organization focused on the long-term financial wellbeing of clients. Our culture emphasizes collaboration, client outcomes, and employee development. We maintain a hybrid working model designed to balance flexibility with in-person collaboration to support client outcomes and the employee experience.
How We Work Vanguard has implemented a hybrid working model designed to capture the benefits of flexibility while enabling in-person learning, collaboration, and connection.
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Core Responsibilities
Leadership: Hire, evaluate, and supervise staff; provide guidance and training; set performance standards; review performance; communicate observations and work with business leadership on risk and controls management strategies.
Oversight: Provides oversight of business unit controls; maintain relationships with key stakeholders; promote a culture of governance and accountability.
Control Design and Monitoring: Partner with stakeholders to implement and monitor an effective system of controls; conduct root cause analysis and remediation when gaps are identified; establish metrics, dashboards, and insights.
Stakeholder Management: Collaborate with division leadership and risk partners to ensure risk and control matters are considered in new and existing operations, technology, and oversight processes; proactively address risks.
Policy Management: Develop and implement internal control policies and procedures; maintain and monitor policies.
Consultation and Analytical Support: Advise on risk management approaches; respond to risk events to identify root cause and themes; propose solutions and ensure remediation within risk tolerance.
Training and Awareness: Develop knowledge of wealth and investment industry, risk and control practices, regulatory or policy changes; act as subject matter expert and trainer.
Special Projects: Participate in special projects and perform other duties as assigned.
Qualifications
Minimum of eight years related work experience; leadership experience required.
Bachelor’s degree in Finance, Business Administration, or related field; advanced degree preferred.
Proven experience in risk management, internal auditing, or compliance.
Strong understanding of regulatory requirements and industry standards.
Excellent analytical and problem-solving skills.
Effective communication and interpersonal skills.
Ability to work independently and as part of a team.
Special Factors Sponsorship: Vanguard is not offering visa sponsorship for this position.
About Vanguard Vanguard is a mission-driven organization focused on the long-term financial wellbeing of clients. Our culture emphasizes collaboration, client outcomes, and employee development. We maintain a hybrid working model designed to balance flexibility with in-person collaboration to support client outcomes and the employee experience.
How We Work Vanguard has implemented a hybrid working model designed to capture the benefits of flexibility while enabling in-person learning, collaboration, and connection.
#J-18808-Ljbffr