IT SOX Audit Senior Controls Manager

The Vanguard Group•Malvern, PA

9d•Hybrid

About The Position

Vanguard's Internal Audit & SOX department is seeking an IT SOX Audit Senior Controls 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 oversee and review activities across the ICFR audit cycle including IT risk assessments, system walkthroughs and scoping, testing of IT and automated business process controls, deficiency evaluations, and audit reporting. This role offers the opportunity to deepen expertise in IT and automated business process controls, technology risk, ICFR assurance, and SOX governance through audit lifecycle management and critical stakeholder engagement. You will focus on controls and processes at the intersection of financial reporting and technology risk, helping Vanguard navigate a control environment shaped by AI, automation, advanced analytics, and digital transformation. You will lead ongoing efforts to leverage automation, analytics, and AI in the audit lifecycle. We are seeking an individual with strong critical and conceptual thinking skills, exceptional project and relationship management capabilities, strong communication, judgment, and decision-making skills, and strong technology, data, and automation acumen.

Requirements

Undergraduate degree required
Minimum of five years of related work experience with knowledge of SOX concepts, practices, and procedures, as well as IT subject-matter proficiency, including automated financial controls, IT logical access, change management, and operations; audit experience within public accounting and/or internal audit is ideal.
Experience with controls, audit, or risk work, including IT and automated controls testing, internal audits, operational audits, advisory, consulting, or compliance, within the financial services industry, corporate finance functions, technology, or risk management ideal.
Experience leveraging automation, data analytics, and full population testing in the execution of audits is ideal.
Proven ability to think critically and conceptually, exercise sound judgment, influence stakeholders, and make effective decisions in a dynamic environment.
Excellent project management, communication, and relationship management skills, with the ability to collaborate across Technology, Finance, Risk, external audit, and other stakeholders.

Nice To Haves

advanced degree or professional certification, such as CPA, CIA, CISSP, or CISA, is a plus.
Experience with the system development lifecycle (SDLC) and evaluating technology implementation risk is preferred.
Experience testing, designing, or evaluating IT and business processes and data workflows is preferred.

Responsibilities

Lead engagement with IT and business control owners and stakeholders to identify and understand relevant technology and financial reporting risks, review documentation of end-to-end processes and data flows, and ensure effective internal controls aligned with SOX and ICFR objectives.
Review, challenge and approve key audit documentation, including IT systems and control scoping and risk ratings, process flowcharts, testing workpapers, and control issue assessments.
Evaluate control exceptions and lead remediation efforts, diagnosing root causes, advising on corrective actions, and providing insights on trends for internal and external reporting.
Serve as a trusted partner to IT and business control stakeholders, offering guidance on certifications, issue remediation, process optimization, and effective control design while fostering strong cross-functional relationships.
Lead coordination across Internal Audit, SOX, Risk, Technology, Business and External Audit teams to enable timely advancement of SOX campaign objectives throughout the audit lifecycle.
Support technology risk mitigation strategies related to new system implementations, third-party product adoptions, control automation, and emerging technology risks that may impact Vanguard’s financial reporting control environment.
Drive continuous improvement initiatives that enhance the use of technology, automation, and data analytics to strengthen and improve efficiency of ICFR audit execution.
Lead and contribute to matrixed teams, providing timely feedback, coaching, and development opportunities.
Drive accountability for SOX campaign execution and outcomes, proactively managing timelines, risks, and dependencies, while escalating issues to senior leadership as appropriate.
Participate in special projects and perform other duties as assigned.