Controls and Enablement Senior Specialist - Personal Wealth – Brokerage and Investments at Vanguard

We are seeking a seasoned and strategic senior leader to serve in an individual contributor role critical to building and scaling a comprehensive risk and control function within the Controls and Enablement organization of Personal Wealth.

The individual in this role will lead the design, execution, and evolution of an integrated risk and control ecosystem including engagement in line of business risk and control self-assessments, issues management and change initiatives. The role will serve as a senior interface with the second line of defense plus internal and external audits, ensuring alignment, transparency, and proactive risk management. This is a high-impact opportunity for a risk leader who thrives in complexity, builds strong partnerships, and brings clarity and structure to evolving environments.

Specific responsibilities

• Drive the risk and control strategy including process, risk and control ownership, assurance activities (manual and automated), and business accountability.

• Engage and lead the business to build and maintain a process and control environment that aligns with enterprise risk appetite and regulatory expectations.

• Champion Control Automation and emerging technologies to strengthen control execution and reduce risk.

• Define and embed Control Accountability across business teams, ensuring clarity of ownership and control execution.

• Execute the RCSA program, embedding risk awareness, rigor and ownership throughout the business.

• Execute the Issue Management program including influencing timely and high-quality opening and closing of issues.

• 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.

Core Responsibilities
1. Leads enterprise-level control initiatives across multiple business lines. Designs and implements scalable control frameworks that ensure compliance with regulatory requirements and internal policies.
2. Provides strategic guidance on risk identification, measurement, and mitigation. Develops and refines control management programs that align with enterprise risk tolerance and business objectives.
3. Influences divisional and enterprise-wide control strategy by identifying gaps, proposing solutions, and driving continuous improvement initiatives. Ensures alignment with industry standards and evolving regulatory expectations.
4. Builds and maintains strategic partnerships with senior stakeholders across business, risk, compliance, and audit functions. Facilitates cross-functional collaboration to ensure consistency and effectiveness of control activities.
5. Serves as a subject matter expert in business controls and operational risk. Provides mentorship and thought leadership to peers and junior specialists. Represents the function in enterprise forums and regulatory discussions as needed.
6. Maintains deep knowledge of Vanguard’s business operations, regulatory landscape, and industry trends. Applies this knowledge to anticipate risks and proactively shape control strategies.
7. Participates in special projects and performs other duties as assigned.

Qualifications

• Minimum eight years related work experience.

• Undergraduate degree or equivalent combination of training and experience. Graduate degree preferred.

• Deep 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.

• FINRA SIE, Series 7, 63 and 24 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.