Controls & Governance Advisor, Sr Specialist at Vanguard

Charlotte, North Carolina, United States

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Not SpecifiedCompensation

Senior (5 to 8 years)Experience Level

Full TimeJob Type

UnknownVisa

Financial Services, Wealth ManagementIndustries

Requirements

Minimum of eight years’ related work experience
Undergraduate degree or equivalent combination of training and experience
Graduate degree preferred

Responsibilities

Provide controls and governance guidance, oversight, and assurance services to enterprise and divisional partners based on Vanguard’s enterprise risk and control standards. Ensures the development and implementation of effective business controls
Lead and manage the efficiency and effectiveness of controls and governance within the business. Set measurable goals and examine ways to raise standards, to increase quality and to improve overall business outcomes. Measure departmental success in identifying and managing potential exposures and identify and prioritize control gaps or improvement opportunities and advise on appropriate control design and testing
Lead and assist the business in the development, implementation and management of long-term control and governance strategies in accordance with department goals and objectives, enterprise policies and procedures, and the overall approach to managing uncertainty and potential tradeoffs
Work with the business to establish effective controls and optimize process efficiency. Use expert industry best practice knowledge to design effective controls and make recommendations for developing new mitigation strategies for the business
Provide consultation, facilitation and analytical support to the divisional management team as new products, services, processes and procedures are developed to ensure tradeoffs are considered and business processes are properly controlled
Develop and maintain strong relationships with enterprise and divisional clients to understand their ongoing needs. Act as a thought partner to the business on matters of control and governance
Assess the design of existing controls and make recommendations, leveraging industry best practice for improvement as needed. Understand enterprise frameworks and utilize the core concepts when discussing potential exposures with the business
Participate in special projects and perform other duties as assigned

Skills

Risk Management

Controls Design

Governance

Compliance

Internal Audit

Process Optimization

Control Testing

Analytical Support

Mitigation Strategies

Oversight

Assurance Services

Vanguard

Client-owned investment management firm offering low-cost funds

About Vanguard

Vanguard provides financial services with a focus on investment management. The company offers a variety of products, including mutual funds, exchange-traded funds (ETFs), individual retirement accounts (IRAs), and 401k rollovers, aimed at individual investors, financial advisors, and institutions. Vanguard's unique ownership structure means it is owned by its funds, which are in turn owned by the clients, allowing it to prioritize the needs of its investors over external shareholders. This model enables Vanguard to offer low-cost investment options, as it primarily earns revenue through management fees that are generally lower than industry standards. Additionally, Vanguard provides personalized investment advisory services, charging fees based on the assets managed. The company's goal is to help clients grow their wealth and achieve their financial objectives through effective investment strategies, while maintaining a competitive performance track record.

Kline Township, PennsylvaniaHeadquarters

1975Year Founded

SECONDARYCompany Stage

Fintech, Financial ServicesIndustries

10,001+Employees

Benefits

Best-in-class medical, dental & vision coverage

Onsite health clinic & fitness center

Health Smart Rewards program

Vanguard Retirement Savings Plan

Education Benefits

PTO

Family Planning Benefist

Parental leave

Personal development opportunities

Volunteer Time Off

Risks

Competition from AI-driven platforms like Writer challenges Vanguard's traditional advisory services.

Vanguard's stake in Steelcase exposes it to the volatile furniture market.

New active bond ETFs may struggle in a low-yield environment with increasing competition.

Differentiation

Vanguard is client-owned, aligning its interests with investors, unlike traditional firms.

The firm offers low-cost investment products, making it attractive to cost-conscious investors.

Vanguard's ownership structure allows it to focus on long-term investor value.

Upsides

Vanguard's new active bond ETFs offer diversified, low-cost fixed income options.

The acquisition of Steelcase shares diversifies Vanguard's portfolio into the furniture industry.

Launching the International Dividend Growth Fund appeals to investors seeking sustainable dividend growth.

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