Risk & Controls Advisor- Advice & Wealth Management

Charlotte, VT - USA

Monthly Salary: Not Disclosed

Posted on: Yesterday

Vacancies: 1 Vacancy

Job Summary

The Risk & Controls Advisor within Advice & Wealth Management is a businessembedded risk partner supporting advice and brokerage operations playing a key role in developing solutions to business challenges and conducting analysis to help management proactively address potential risks to the firm and its investors. This role works closely with business leaders and risk partners including Compliance Risk and Internal Audit to ensure effective risk management practices that support advisory activities while protecting clients and the firm.

You will be essential in helping maintain robust processes and controls strong oversight and operational resilience across advisory and investmentrelated business activities. The role also supports the development and implementation of a divisional framework that promotes strong governance and sustainable risk and control environment for both current and future wealth management business needs.

What Youll Do

Identify and assess risks across advisory products client interactions advisor workflows and brokerage operations
Partner with business leaders to develop practical risk mitigation strategies
Evaluate control design and operating effectiveness; perform root cause analysis and drive remediation
Provide consultative support on risk events trends and emerging issues
Support policy development governance and ongoing monitoring
Serve as a risk and controls subject matter resource for the wealth business

What Were Looking For

Experience translating data and analysis into insights on risk trends
Strong problemsolving skills and comfort navigating ambiguity
Ability to simplify complex risk and control concepts for business partners
Confidence influencing crossfunctional stakeholders
Handson consultative approach to risk management

Qualifications

Minimum of five years related work experience with two years experience in risk management.
Undergraduate degree or equivalent combination of training and experience. Graduate degree preferred.
Experience supporting advice or wealth management businesses (e.g. advisory platforms brokerage managed accounts advisor supervision) preferred
Strong understanding of regulatory and risk management principles
Excellent communication and analytical skills

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