IT Compliance Risk Inspection Director

Looking for a new challenge to build a compliance oversight program focused on implementation of monitoring and testing for IT AI and Cybersecurity Vanguards Compliance Oversight is expanding to include coverage for these risks and is looking for an industry expert to join us to build and influence a strong program that scales as our investment in technology grows.

This role is responsible for the development implementation and maintenance of compliance processes and program activities to support a robust Enterprise Compliance monitoring and testing program specific to Information Technology Cybersecurity and Generative AI implementations. It involves conducting advanced compliance inspections and assessments while also serving as a strategic advisor to the business by providing expert guidance and oversight on regulated activities.

Core Responsibilities

• Establishes the methodology implementation execution and maintenance of the inspection approach for IT and AI related compliance risks as documented within compliance policies and procedures. Supports the development of new compliance oversight approaches and methodology.
• Completes routine monitoring and testing. Leads investigations of alleged violations of Vanguards ethical standards and noncompliance with applicable laws regulations and corporate policy issues. Serves as a partner to the business and interfaces regularly with business area stakeholders and internal risk audit and compliance partners.
• Identifies socializes and prepares written inspection and assessment reports and provides recommendations for corrective action. Provides guidance to mitigate compliance risks and control gaps.
• Recommends corrective action plans for resolution of problematic issues. Recommends practices to reduce potential for violations and noncompliance.
• Manages operational efficiency. Sets measurable goals leveraging internal and external resources accordingly. Reports on the results of compliance and ethics initiatives of the business.
• Follows approved monitoring and testing procedures to execute book of work on time and with quality.
• Provides routine peer coaching cross training technical acumen and industry expertise
• Builds strong working relationships establishing rapport trust and respect in a fast paced quickly evolving business space.
• Maintains a deep knowledge and awareness of the investment industry. Stays abreast of current market regulatory and industry relevant news. Serves as an expert on compliance related issues. Acts as a liaison to regulatory agencies.
• Participates in special projects and performs other duties as assigned.

Qualifications

• Minimum of eight years related work experience.
• Undergraduate degree or equivalent combination of training and experience.
• Deep knowledge of NIST and other Technology Related regulatory requirements and industry standards
• Experience developing testing or providing 2nd line oversight for AI Governance Standards and Implementation as it pertains to Compliance Risk
• Experience with Cybersecurity Privacy and Information Security regulatory risk topics

Special Factors

Sponsorship

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.