SOX Internal Auditor

Vanguard • Malvern, PA

2d • Hybrid

About The Position

Vanguard’s Internal Audit & SOX department is seeking two Internal Auditors to join the SOX Audit Services (SAS) team—one serving Vanguard’s corporate SOX program and one serving Vanguard’s fund SOX program. SAS serves as Vanguard’s centralized ICFR (internal control over financial reporting) assurance and audit function. In these roles, you will execute activities across the full corporate or fund ICFR audit cycle—including planning and risk assessment; process walkthroughs; testing of design and operating effectiveness; deficiency identification and evaluation; and supporting overall audit conclusions—while partnering closely with control owners and other stakeholders on periodic control certifications and deficiency remediation. Assignment to the corporate or fund SAS team will determine primary scope and control alignment. These roles offer an excellent opportunity to deepen expertise in ICFR assurance and SOX‑aligned governance through hands‑on audit execution and targeted stakeholder engagement. We are seeking strong individual contributors with well‑developed critical and conceptual thinking skills, sound judgment, and the ability to independently manage varied audit tasks and competing priorities.

Requirements

• Undergraduate degree required; advanced degree or professional certification (e.g., CPA, CIA, CISA, CISSP) is a plus.
• Minimum of three 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.
• Experience performing controls, audit, or risk‑related work within financial services, corporate or 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 organizational, communication, and collaboration skills, with the ability to effectively partner with control owners, internal risk and compliance partners, and external auditors.

Responsibilities

• Execute key ICFR audit procedures, including performing process walkthroughs; assessing financial reporting risk; preparing control design and operating effectiveness testing; and identifying and escalating control changes, issues, or emerging risks in accordance with established methodology.
• Evaluate, document, and support conclusions on control deficiencies in accordance with SOX and internal audit methodology, including assessing root cause, severity, and potential financial reporting impact, as applicable.
• Partner with control owners and other stakeholders to support timely and effective remediation of identified control deficiencies, including tracking progress against established remediation plans and proactively identifying related or systemic risks.
• Ensure the preparation and maintenance of high‑quality 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.
• Collaborate with other Internal Audit and SOX professionals in a matrixed environment to coordinate audit activities, align scope, and contribute to consistent, risk‑focused ICFR assurance outcomes.
• Contribute to continuous improvement by supporting initiatives to enhance technology, automation, and data analytics or process improvements that strengthen ICFR audit execution.
• Support periodic control certification activities as directed.
• Participate in special projects and perform other duties as assigned.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level