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Vanguard · 5 months ago

Controls & Governance Advisor, Advice & Wealth Management

Scottsdale, AZ

Full-time

Hybrid

Senior Level

5+ years exp

Vanguard is a company focused on the long-term financial wellbeing of its clients. They are seeking a highly skilled and motivated senior controls advisor to develop solutions for business challenges and conduct analysis to address potential risks within the Advice and Wealth Management Division.

FinanceFinancial Services

No H1B

Responsibilities

Risk Management: Identify and analyze risks, determine risk tolerance and develop corresponding risk management strategies for new and existing products and processes. Communicated observations and work with business management on risk management strategies

Control Design and Monitoring: Support the development of efficient and effective control of the environment. Analyze control design and operating effectiveness. Conduct root cause analysis and remediation when controls fail, or gaps are identified

Policy Management: Assist in developing and implementing internal control policies and procedures. Ensure policies are effectively maintained, governed and monitored

Consultation and Analytical Support: Provide advice on improving our approach to managing and controlling risk. Respond to risk events to identify root causes, themes and additional areas where similar events could occur. Propose solutions and ensure causes are remediated within risk tolerance

Training and Awareness: Develop and maintain knowledge and awareness of the wealth and investment industry, risk and control practices, and regulatory and/or policy changes. Serves as a subject matter expert and trainer on risk and internal control matters

Special Projects: Participate in special projects and perform other duties as assigned

Qualification

Risk ManagementInternal AuditingRegulatory ComplianceAnalytical SkillsCommunication SkillsWealth Management KnowledgePolicy ManagementTeamworkProblem-Solving