IT Risk & Compliance Analyst
AngiSalary not specified
Full Time
Mid-level (3 to 4 years)
Not SpecifiedCompensation
Expert & Leadership (9+ years), Senior (5 to 8 years)Experience Level
Full TimeJob Type
UnknownVisa
Financial Services, Investment ManagementIndustries
Requirements
- Minimum of eight years related work experience
- Undergraduate degree or equivalent combination of training and experience
- Deep knowledge of NIST and other Technology Related regulatory requirements and industry standards
- Experience developing, testing or providing 2nd line oversight for AI Governance Standards and Implementation as it pertains to Compliance Risk
- Experience with Cybersecurity, Privacy, and Information Security regulatory risk topics
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
- Manages operational efficiency. Sets measurable goals leveraging internal and external resources accordingly. Reports on the results of compliance and ethics initiatives of the business
- Follows approved monitoring and testing procedures to execute book of work, on time, and with quality
- Provides routine peer coaching, cross training technical acumen and industry expertise
- Builds strong working relationships, establishing rapport, trust and respect in a fast paced quickly evolving business space
- Maintains a deep knowledge and awareness of the investment industry. Stays abreast of current market, regulatory and industry relevant news. Serves as an expert on compliance related issues. Acts as a liaison to regulatory agencies
- Participates in special projects and performs other duties as assigned
Skills
IT Compliance
Cybersecurity
Generative AI
Compliance Monitoring
Compliance Testing
Risk Assessment
Regulatory Compliance
Inspection Methodology
Investigations
Audit Oversight
Control Gaps
Corrective Actions
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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