Director, Controls Management - Self Directed

The Vanguard Group•Scottsdale, PA

6d•Hybrid

About The Position

We are seeking a seasoned and strategic senior leader to join the Personal Wealth Controls and Enablement team. The position is a newly established leadership role critical to building and scaling a comprehensive risk and control function aligned to the Self-Directed subdivision. The individual in this role, will lead the design, execution, and evolution of an integrated risk and control ecosystem including engagement and oversight of line of business risk, control assurance, and control self-assessments. The role will serve as a senior interface with the second line of defense and internal and external audits, ensuring alignment, transparency, and proactive risk management across the enterprise. 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 across Personal Wealth - Self Directed subdivision including 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 of the Issue Management program including influencing timely and high-quality opening and closing of issue 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 Hires, evaluates, and supervises crew. Provides guidance and training as necessary to develop crew. Sets performance standards, reviews performance, and makes informed compensation decisions in accordance with all applicable Human Resources policies and procedures. Creates infrastructure to ensure success of all control projects within and across divisions. Ensures the development and implementation of the internal control framework, and leads complex control identification, design, implementation, and testing. Leads the identification and resolution of complex control gaps and ensures effective design, implementation, and operation of controls across divisions. Identifies and implements actions to increase effectiveness. Oversees the consultation to the business on internal and external audit activities and risk mitigation initiatives in response to audit findings. Serves as escalation point for the team in providing high-level consultation, facilitation and analytical support on complex control-related issues, and ensures internal controls are properly aligned and implemented. Supports ongoing maintenance of relationship with Vanguard's external auditor. Oversees documentation and reporting of findings. Oversees development and maintenance of monthly dashboards and management reports. Develops risk metrics, dashboards, and reports that are distributed regularly and can be used to identify potential risk mitigation opportunities as well as monitor the effectiveness of risk mitigation activities. Owns departmental relationships with key internal and external stakeholders. Promotes collaboration with other departments sharing best practices regarding key controls to influence and effectively communicate control solutions to all appropriate parties. Provides leadership and strategic direction to develop, implement, and manage comprehensive control management programs for the business unit and the enterprise. Provides education and leadership to crew around audit and control issues in order to create awareness, education, and compliance. Builds and maintains awareness of risk and control topics. Understands broad industry and Vanguard trends regarding risk and control and adjusts business operations as required.. Demonstrates high level of competency and thought leadership in field of expertise. Manages the efficiency and effectiveness within the department. Sets measurable goals and examines ways to raise standards, improve quality, and improve overall performance of the department. Monitors departmental progress and measures departmental success. Ensures team maintains appropriate credentials (aligned with external audit standards) to assess, monitor and test financial reporting key controls. Participates in special projects and performs other duties as assigned.

Requirements

Minimum of ten years related work experience.
Supervisory experience required.
Undergraduate degree or equivalent combination of training and experience.
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.
Demonstrated ability to lead through complexity and ambiguity while delivering sustainable outcomes.

Nice To Haves

Graduate degree preferred.
Experience with GRC platforms (e.g., Archer) is a plus.
FINRA SIE, Series 7, 63, and 24 are preferred.

Responsibilities

Drive the risk and control strategy across Personal Wealth - Self Directed subdivision including 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 of the Issue Management program including influencing timely and high-quality opening and closing of issue
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.
Hires, evaluates, and supervises crew.
Provides guidance and training as necessary to develop crew.
Sets performance standards, reviews performance, and makes informed compensation decisions in accordance with all applicable Human Resources policies and procedures.
Creates infrastructure to ensure success of all control projects within and across divisions.
Ensures the development and implementation of the internal control framework, and leads complex control identification, design, implementation, and testing.
Leads the identification and resolution of complex control gaps and ensures effective design, implementation, and operation of controls across divisions.
Identifies and implements actions to increase effectiveness.
Oversees the consultation to the business on internal and external audit activities and risk mitigation initiatives in response to audit findings.
Serves as escalation point for the team in providing high-level consultation, facilitation and analytical support on complex control-related issues, and ensures internal controls are properly aligned and implemented.
Supports ongoing maintenance of relationship with Vanguard's external auditor.
Oversees documentation and reporting of findings.
Oversees development and maintenance of monthly dashboards and management reports.
Develops risk metrics, dashboards, and reports that are distributed regularly and can be used to identify potential risk mitigation opportunities as well as monitor the effectiveness of risk mitigation activities.
Owns departmental relationships with key internal and external stakeholders.
Promotes collaboration with other departments sharing best practices regarding key controls to influence and effectively communicate control solutions to all appropriate parties.
Provides leadership and strategic direction to develop, implement, and manage comprehensive control management programs for the business unit and the enterprise.
Provides education and leadership to crew around audit and control issues in order to create awareness, education, and compliance.
Builds and maintains awareness of risk and control topics.
Understands broad industry and Vanguard trends regarding risk and control and adjusts business operations as required..
Demonstrates high level of competency and thought leadership in field of expertise.
Manages the efficiency and effectiveness within the department.
Sets measurable goals and examines ways to raise standards, improve quality, and improve overall performance of the department.
Monitors departmental progress and measures departmental success.
Ensures team maintains appropriate credentials (aligned with external audit standards) to assess, monitor and test financial reporting key controls.
Participates in special projects and performs other duties as assigned.