SOX Senior Controls Manager

The Vanguard Group • Chesterbrook, PA

4h • Hybrid

About The Position

Vanguard’s Internal Audit & SOX department is seeking a Senior Controls Manager to join the SOX Audit Services (SAS) team. In this role, you will oversee and review activities across the full Corporate SOX audit lifecycle—planning, risk assessment, testing execution, conclusion, and reporting—while supporting control owners and stakeholders through certifications, issue remediation, and process optimization. This position offers the opportunity to develop deep expertise in Corporate SOX, finance, and risk management. You will drive process improvements, mitigate risk, and strengthen governance through effective control strategies and strong stakeholder relationships. We are looking for individuals with critical and conceptual thinking skills, exceptional project and relationship management capabilities, and strong communication, influence, judgment, and decision-making skills.

Requirements

• Undergraduate degree required; advanced degree or professional certification (e.g., CPA, CIA, CISSP, CISA) is a plus.
• Minimum of five years related work experience with knowledge of SOX concepts, practices and procedures; audit experience within public accounting and/or internal audit is a plus.
• Experience with controls, audit, or risk (i.e., financial controls testing, internal audits, operational audits, advisory/consulting/compliance) within the financial services industry, corporate finance functions, or risk management highly preferred.
• Experience testing, designing, or evaluating workflows preferred.
• Proven ability to think critically and conceptually, exercise sound judgment, and make effective decisions in a dynamic environment.
• Excellent project management, communication, and relationship management skills; ability to influence and collaborate across multiple stakeholders.

Responsibilities

• Engage with control owners to identify and understand relevant risks, document end-to-end processes, and ensure effective internal controls aligned with financial reporting objectives.
• Review and approve key audit documentation, including control scoping and risk ratings, process flowcharts, testing workpapers, and issue assessments.
• Evaluate control exceptions and 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 control stakeholders, offering guidance on certifications, issue remediation, and process improvements while fostering strong cross-functional relationships.
• Collaborate with internal and external audit teams to advance SOX campaign objectives and ensure alignment throughout the audit lifecycle, monitoring progress against established timelines.
• Drive continuous improvement by leveraging technology, automation, and data analytics to enhance control testing efficiency and SOX campaign execution.
• Lead and contribute to matrixed teams, providing timely feedback, coaching, and development opportunities.
• Participate in special projects and perform other duties as assigned.

What This Job Offers

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