Risk and Controls Assurance Program Leader

The Vanguard Group • Charlotte, NC

19h • Hybrid

About The Position

The RCSA leader plays a critical role in strengthening the company’s risk framework by designing, implementing, and executing the Risk and Control Self‑Assessment process across the Personal Investor division. This role ensures the division proactively identifies, assesses, and mitigates risks plus maintains effective internal controls.

Requirements

• Minimum of eight years related work experience.
• Undergraduate degree or equivalent combination of training and experience.

Nice To Haves

• Graduate degree preferred.

Responsibilities

• RCSA Program Leadership Develop and manage the end‑to-end RCSA lifecycle for the Personal Investor business units involved in wealth management advice solutions, educational tools, and financial products. Ensure RCSA activities align with enterprise risk policies and financial‑sector regulatory guidance Establish standardized methodologies and ensure consistent adoption across first‑line teams.
• Risk Identification & Assessment Develop and manage workshops conducted by facilitators with business leaders to identify and assess inherent and residual risks such as fraud, cyber risk, AML/OFAC, conduct risk, model risk, privacy, and third‑party risk. Ensure all risks and controls are accurately mapped to key processes.
• Control Evaluation & Assurance Develop and manage workshops to evaluate the adequacy of internal controls supporting operations, regulatory reporting, customer interactions, and transactional processes.
• Reporting & Governance Prepare high‑quality RCSA summaries, dashboards, control performance metrics, and risk profiles for senior risk committees, business executives, and regulators. Provide meaningful insights and trends related to emerging risks, control weaknesses, or concentration areas across business units. Support governance activities such as risk committee meetings, compliance reviews, and exam preparation.
• Stakeholder Engagement Act as a trusted advisor to business leaders, risk partners, compliance, internal audit, and issue management teams. Educate front‑line and control owners on RCSA requirements, regulatory expectations, and operational risk best practices. Build strong relationships across first‑line and second‑line functions to ensure a culture of risk awareness and accountability.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 5,001-10,000 employees