Controls & Governance Advisor, Advice & Wealth Management
Controls & Governance Advisor, Advice & Wealth Management
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Job Description
Join the new Controls and Governance department as a highly skilled and motivated senior controls leader within the Advice and Wealth Management (AWM) Division. Reporting to the AWM Head of Controls and Governance this leader will build and lead a team that provides controls expertise to support AWM. They will play a key role in developing solutions to business challenges and conducting analysis to help management proactively address potential risks to the firm or investors. The role requires close collaboration with business leaders and risk partners including Compliance Risk and Internal Audit. The team will be essential in ensuring effective risk management robust processes and controls strong oversight and operational resilience. This leader will also drive the development and implementation of a divisional framework that promotes strong governance and a sustainable risk and control environment for both current and future business needs.
Responsibilities:
- Risk Management:Identify and analyze risks determine risk tolerance and develop corresponding risk management strategies for new and existing products and processes. Communicated observations and work with business management on risk management strategies.
- Control Design and Monitoring:Support the development of an efficient and effective of control environment. Analyze control design and operating effectiveness. Conduct root cause analysis and remediation when controls fail or gaps are identified.
- Policy Management:Assist in developing and implementing internal control policies and procedures. Ensure policies are effectively maintained governed and monitored.
- Consultation and Analytical Support:Provide advice on improving our approach to managing and controlling risk. Respond to risk events to identify root cause themes and additional areas where similar events could occur. Propose solutions and ensure causes are remediated within risk tolerance.
- Training and Awareness:Develop and maintains knowledge and awareness of the wealth and investment industry risk and control practices and regulatory and/or policy changes. Serves as a subject matter expert and trainer on risk and internal control matters.
- Special Projects:Participate in special projects and perform other duties as assigned.
Qualifications:
- Minimum of five years related work experience with two years experience in risk management.
- Proven experience in risk management controls internal auditing or regulatory compliance.
- Strong understanding of regulatory requirements and industry standards.
- Experience with advice and wealth management business preferred.
- Excellent analytical and problem-solving skills.
- Effective communication and interpersonal skills.
- Ability to work independently and as part of a team.
- Undergraduate degree or equivalent combination of training and experience. Graduate degree preferred.
Special Factors
Sponsorship
Vanguard is not offering visa sponsorship for this position.About Vanguard
At Vanguard we dont just have a missionwere on a mission.
To work for the long-term financial wellbeing of our clients. To lead through product and services that transform our clients lives. To learn and develop our skills as individuals and as a team. From Malvern to Melbourne our mission drives us forward and inspires us to be our best.
How We Work
Vanguard has implemented a hybrid working model for the majority of our crew members designed to capture the benefits of enhanced flexibility while enabling in-person learning collaboration and connection. We believe our mission-driven and highly collaborative culture is a critical enabler to support long-term client outcomes and enrich the employee experience.
Required Experience:
Unclear Seniority
Employment Type
Full-Time
