Business Controls Oversight, Senior Specialist

Scottsdale, AZ - USA

Monthly Salary: Not Disclosed

Posted on: Yesterday

Vacancies: 1 Vacancy

Job Summary

The Issues Management leader plays a critical role in strengthening the companys risk framework by designing implementing and executing the Issue Management program across multiple Personal Wealth subdivisions. This role ensures the division proactively identifies assesses and mitigates risks plus maintains effective internal controls.

Specific Responsibilities

1. Issues Management Program Leadership

Ensure Issue Management activities align with enterprise risk policies and financialsector regulatory guidance
Establish standardized methodologies and ensure consistent adoption across firstline teams.
Develop and manage the endtoend Issues Management lifecycle for the specific Personal Wealth subdivisions

2. Issue Identification Assessment and Remediation

Develop and manage routines with business leaders to consistently open and close unmitigated risks (issues) on time with sustainable solutions
Develop standards and quality routines to ensure issue rating root cause and action plans meet quality expectations supporting effective risk management

3. Reporting & Governance

Prepare highquality Issue Management summaries dashboards performance metrics and profiles for senior risk committees business executives and regulators.
Provide meaningful insights and trends related to emerging risks and cross subdivision control weaknesses or concentration areas
Support governance activities such as risk committee meetings compliance reviews and exam preparation.

4. Stakeholder Engagement

Act as a trusted advisor to business leaders risk partners compliance internal audit and other risk management teams
Educate frontline and control owners on issue management requirements regulatory expectations and best practices.
Build strong relationships across firstline and secondline functions to ensure a culture of risk awareness and accountability.

Core Responsibilities

Leads enterprise-level control initiativesacross multiple business lines. Designs and implements scalable control frameworks that ensure compliance with regulatory requirements and internal policies.
Provides strategic guidanceon 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 strategyby identifying gaps proposing solutions and driving continuous improvement initiatives. Ensures alignment with industry standards and evolving regulatory expectations.
Builds and maintains strategic partnershipswith 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 expertin 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 knowledgeof Vanguards 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.

Qualifications

Minimum of ten 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 GRC platforms (e.g. Archer) is a plus.
Demonstrated ability to lead through complexity and ambiguity while delivering sustainable outcomes.

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:

Senior IC