Leads enterprise-level control initiatives across multiple business lines.
Designs and implements scalable control frameworks that ensure compliance with regulatory requirements and internal policies.
Provides strategic guidance on risk identification, measurement, and mitigation.
Develops and refines control management programs that align with enterprise risk tolerance and business objectives.
Influences divisional and enterprise-wide control strategy by identifying gaps, proposing solutions, and driving continuous improvement initiatives.
Ensures alignment with industry standards and evolving regulatory expectations.
Builds and maintains strategic partnerships with senior stakeholders across business, risk, compliance, and audit functions.
Facilitates cross-functional collaboration to ensure consistency and effectiveness of control activities.
Serves as a subject matter expert in business controls and operational risk.
Provides mentorship and thought leadership to peers and junior specialists.
Represents the function in enterprise forums and regulatory discussions as needed.
Maintains deep knowledge of Vanguard’s business operations, regulatory landscape, and industry trends.
Applies this knowledge to anticipate risks and proactively shape control strategies.
Participates in special projects and performs other duties as assigned.

Minimum eight years related work experience.
Undergraduate degree or equivalent combination of training and experience.
Graduate degree preferred.
Deep risk management expertise, control frameworks and operational risk.
Experience in line of business risk, control assurance or internal audit, ideally in a regulated financial services environment.
Strong relationship management and influencing skills across all levels of the organization.
Ability to analyze data and translate it into meaningful insights and recommendations.
Strong data literacy and ability to translate data into actionable insights and strategic recommendations.
Experience with Governance, Risk, and Compliance (GRC) platforms (e.g., Archer) is a plus.
Demonstrated ability to lead through complexity and ambiguity while delivering sustainable outcomes.
FINRA SIE, Series 7, 63 and 24 are preferred.

Senior Specialist – Controls and Enablement, Personal Wealth – Brokerage and Investments

Key skills