Funds SOX Audit Manager

Vanguard • Malvern, PA

4d • Hybrid

About The Position

Vanguard’s Internal Audit & SOX department is seeking a Funds SOX Audit Manager to join the SOX Audit Services (SAS) team. SAS serves as Vanguard’s centralized ICFR (internal control over financial reporting) assurance and audit function. In this role, you will be responsible for executing activities across the full ICFR audit cycle with a focus on fund financial reporting, including planning and risk assessment; process walkthroughs; testing of design and operating effectiveness; deficiency identification and evaluation; and overall audit conclusions while partnering closely with control owners and other stakeholders on periodic control certifications and deficiency remediation. This role offers an excellent opportunity to deepen expertise in ICFR assurance and SOX‑aligned governance while driving continuous improvement through high‑quality audit execution and strong stakeholder relationships. We are seeking someone who brings strong critical and conceptual thinking, sound judgment and decision‑making, and the ability to effectively manage complex projects and competing priorities.

Requirements

• Undergraduate degree required; advanced degree or professional certification (e.g., CPA, CIA, CISA, CISSP) is a plus.
• Minimum of five years of relevant experience performing ICFR and SOX‑related audit or assurance work, with a strong understanding of applicable concepts, practices, and methodologies; public accounting and/or internal audit experience is ideal.
• Working knowledge of fund operations and fund financial reporting concepts, including areas such as fund accounting, NAV calculation, pricing and valuation, investment operations, and regulatory frameworks (e.g., Investment Company Act of 1940).
• Experience performing controls, audit, or risk‑related work within financial services, fund finance, or risk management environments, including evaluating financial reporting risks and control effectiveness.
• Experience designing, testing, or evaluating business processes and control workflows, including end‑to‑end process and risk analysis.
• Demonstrated ability to exercise sound judgment and make well‑reasoned, defensible audit decisions in a complex environment; experience using data analytics or other audit techniques to support risk assessment and audit conclusions is preferred.
• Data analytics literacy, with the ability to apply analytical techniques to extract actionable insights and drive informed decision-making.
• Excellent project management, communication, and relationship management skills, with the ability to influence and collaborate across multiple levels of stakeholders, including control owners, internal risk and compliance partners, and external auditors.

Nice To Haves

• Advanced degree or professional certification (e.g., CPA, CIA, CISA, CISSP) is a plus.
• Public accounting and/or internal audit experience is ideal.
• Experience using data analytics or other audit techniques to support risk assessment and audit conclusions is preferred.

Responsibilities

• Execute key ICFR audit procedures, including leading process walkthroughs; assessing financial reporting risk; preparing or reviewing control design and operating effectiveness testing; and identifying and escalating control changes, issues, or emerging risks as appropriate.
• Evaluate and conclude on control deficiencies in accordance with SOX and internal audit methodology, including assessing root cause, severity, and potential financial reporting impact, and supporting appropriate escalation and disposition.
• Partner with control owners and other stakeholders to advance effective remediation of identified control deficiencies, including monitoring progress against established remediation plans and proactively identifying related or systemic risks.
• Ensure critical ICFR audit documentation—including control narratives, flowcharts, risk assessments, and supporting artifacts—is complete, reliable, and aligned with internal audit standards and external audit expectations.
• Support control certification activities, including review of management responses and related support, ensuring required deliverables are complete, accurate, and submitted in accordance with established timelines.
• Lead effectively in a matrixed environment by reviewing work performed by others, providing timely feedback and coaching, and collaborating with Internal Audit teams to align scope, reduce duplication of effort, and influence stakeholders toward high‑quality, risk‑focused audit execution.
• Drive continuous improvement by leveraging technology, automation, and data analytics to enhance the effectiveness and efficiency of ICFR assurance activities.
• Participate in special projects and perform other duties as assigned.

Benefits

• 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.

What This Job Offers

• Job Type: Full-time
• Career Level: Manager
• Education Level: High school or GED