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Business Controls Oversight, Senior Specialist
senior · Risk & Compliance
Summary
We are seeking a seasoned and strategic senior leader to serve in an individual contributor role critical to building and scaling a comprehensive technology risk and control function within the Controls and Enablement organization of Personal Wealth. The individual in this role will lead the design, execution, and continuous improvement of an integrated risk and control environment, overseeing line-of-business risk assessments, issues management, control monitoring, and business and technology change initiatives. The role also serves as a senior interface with the second line of defense and audit partners, driving effective challenge, governance alignment, risk transparency, and proactive management of operational, technology, and control risks.
Provides strategic guidance on the identification, measurement, monitoring, and mitigation of business and technology risks.
Develops control management programs aligned with enterprise risk appetite and Vanguard technology risk standards.
Engage and lead the business to build and maintain a process and control environment that aligns with enterprise risk appetite.
Execute the RCSA program, embedding risk awareness, rigor and ownership throughout the business.
Execute the Issue Management program by influencing timely, high-quality issue opening and closure while partnering with business and technology teams to ensure clear ownership and effective control execution.
Serve as a key liaison to line of business partners including second line of defense and Internal Audit, ensuring proactive engagement, audit readiness, and issue management.
Deliver robust reporting and insights on control health and risk posture to senior leaders, enabling data driven decision making.
Responsibilities
Lead enterprise risk and control strategy across business and technology processes by designing scalable frameworks, ensuring compliance, and driving ownership, assurance, and accountability for technology-enabled controls.
Partner with Technology, Information Security, Data, and Architecture teams to identify, assess, and mitigate IT, cybersecurity, data, and third-party technology risks.
Champion control automation, continuous monitoring, and the use of emerging technologies, including AI-enabled solutions, to strengthen risk management and improve control effectiveness.
Serves as a subject matter expert in business controls and operational risk.
Leverage deep knowledge of Vanguard’s business operations, regulatory landscape, and industry trends to anticipate risks and to proactively shape control strategies.
Participates in special projects and performs other duties as assigned.
Requirements:
Minimum eight years related work experience.
Undergraduate degree or equivalent combination of training and experience. Graduate degree preferred.
Deep IT risk management expertise, control frameworks and operational risk.
Experience in line of business risk, control assurance or internal audit, ideally in a regulated financial services environment.
Strong relationship management and influencing skills across all levels of the organization.
Ability to analyze data and translate it into meaningful insights and recommendations.
Strong data literacy and ability to translate data into actionable insights and strategic recommendations.
Experience with Governance, Risk, and Compliance (GRC) platforms (e.g., Archer) is a plus.
Demonstrated ability to lead through complexity and ambiguity while delivering sustainable outcomes.
CISSP, CRISC, CISM certifications are preferred
Special Factors
Sponsorship
Vanguard is not offering visa sponsorship for this position.About Vanguard
At Vanguard, we don't just have a mission—we're on a mission.
To work for the long-term financial wellbeing of our clients. To lead through product and services that transform our clients' lives. To learn and develop our skills as individuals and as a team. From Malvern to Melbourne, our mission drives us forward and inspires us to be our best.
How We Work
Vanguard has implemented a hybrid working model for the majority of our crew members, designed to capture the benefits of enhanced flexibility while enabling in-person learning, collaboration, and connection. We believe our mission-driven and highly collaborative culture is a critical enabler to support long-term client outcomes and enrich the employee experience.