IT Compliance Risk Inspection Director

Vanguard•Malvern, PA

38d

About The Position

Looking for a new challenge to build a compliance oversight program focused on implementation of monitoring and testing for IT, AI and Cybersecurity? Vanguard's Compliance Oversight is expanding to include coverage for these risks and is looking for an industry expert to join us to build and influence a strong program that scales as our investment in technology grows. This role is responsible for the development, implementation, and maintenance of compliance processes and program activities to support a robust Enterprise Compliance monitoring and testing program specific to Information Technology, Cybersecurity, and Generative AI implementations. It involves conducting advanced compliance inspections and assessments, while also serving as a strategic advisor to the business by providing expert guidance and oversight on regulated activities.

Requirements

Minimum of eight years related work experience.
Undergraduate degree or equivalent combination of training and experience.
Deep knowledge of NIST and other Technology Related regulatory requirements and industry standards
Experience developing, testing or providing 2nd line oversight for AI Governance Standards and Implementation as it pertains to Compliance Risk
Experience with Cybersecurity, Privacy, and Information Security regulatory risk topics

Responsibilities

Establishes the methodology, implementation, execution, and maintenance of the inspection approach for IT and AI related compliance risks as documented within compliance policies and procedures. Supports the development of new compliance oversight approaches and methodology.
Completes routine monitoring and testing. Leads investigations of alleged violations of Vanguard's ethical standards and noncompliance with applicable laws, regulations and corporate policy issues. Serves as a partner to the business, and interfaces regularly with business area stakeholders and internal risk, audit, and compliance partners.
Identifies, socializes and prepares written inspection and assessment reports and provides recommendations for corrective action. Provides guidance to mitigate compliance risks and control gaps.
Recommends corrective action plans for resolution of problematic issues. Recommends practices to reduce potential for violations and noncompliance.
Manages operational efficiency. Sets measurable goals leveraging internal and external resources accordingly. Reports on the results of compliance and ethics initiatives of the business.
Follows approved monitoring and testing procedures to execute book of work, on time, and with quality.
Provides routine peer coaching, cross training technical acumen and industry expertise
Builds strong working relationships, establishing rapport, trust and respect in a fast paced quickly evolving business space.
Maintains a deep knowledge and awareness of the investment industry. Stays abreast of current market, regulatory and industry relevant news. Serves as an expert on compliance related issues. Acts as a liaison to regulatory agencies.
Participates in special projects and performs other duties as assigned.