Business Controls Oversight, Senior Specialist

The Vanguard Group • Charlotte, NC

2d • Hybrid

About The Position

At Vanguard, the mission is to work for the long-term financial wellbeing of clients, leading through products and services that transform clients' lives, and fostering individual and team development. The company has implemented a hybrid working model for most crew members, designed to enhance flexibility while enabling in-person learning, collaboration, and connection, believing this mission-driven and highly collaborative culture supports long-term client outcomes and enriches the employee experience. This role involves standing up and leading a new oversight function, designing and implementing controls, and partnering with various teams to ensure compliance and effective risk management.

Requirements

• Minimum of eight years related work experience.
• Undergraduate degree or equivalent combination of training and experience.
• Experience in business controls, risk management, supervision, or compliance within a financial services or regulated environment.
• Strong understanding of first line of defense responsibilities and how to partner effectively with second line risk teams.
• Proven ability to design, document, and operationalize controls in complex organizations.
• Excellent judgment, communication, and stakeholder management skills.
• Comfort operating in ambiguous, build-mode environments where structure and clarity need to be created.
• Ability to work independently while driving outcomes through collaboration and influence.

Nice To Haves

• Graduate degree preferred.
• Strong data and analytical skills preferred.

Responsibilities

• Stand up and lead a new oversight function for the organization, including defining scope, priorities, and operating model.
• Design, document, implement, and maintain controls, monitoring, and oversight routines aligned to regulatory, supervisory, and enterprise risk expectations.
• Design and implement risk assessment processes, develop reporting frameworks for control effectiveness, and establish regular review protocols to ensure ongoing compliance.
• Partner closely with front-line leaders, risk partners, legal/compliance, and operations to ensure controls are practical, effective, and embedded in day-to-day execution.
• Facilitate cross-functional collaboration to ensure consistency and effectiveness of control activities.
• Own and maintain written supervisory procedures, control documentation, and issue tracking, ensuring clarity, consistency, and audit readiness.
• Identify trends, risks, and gaps through monitoring and data analysis, and translate insights into actionable recommendations for leadership.
• Support regulatory exams, audits, and internal reviews by coordinating responses, tracking, and driving timely remediation.
• Act as a trusted advisor to business leaders balancing strong risk discipline with a deep understanding of how the business operates.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Number of Employees: 5,001-10,000 employees