Business Controls Oversight RCSA, Senior Specialist

Specific responsibilities

• RCSA Program Development and Execution
  • Develop and execute the endtoend RCSA lifecycle for the Personal Wealth division
  • Ensure RCSA activities align with enterprise risk policies and financialsector regulatory guidance
  • Establish standardized methodologies and ensure consistent adoption across firstline teams.
• Risk Identification & Assessment
  • Facilitates workshops with business leaders to identify and assess inherent and residual risks such as fraud cyber risk AML/OFAC conduct risk model risk privacy and thirdparty risk.
  • Ensure all risks and controls are accurately mapped to key processes.
• Control Evaluation & Assurance
  • Develop and manage workshops to evaluate the adequacy of internal controls supporting operations regulatory reporting customer interactions and transactional processes.
• Reporting & Governance
  • Prepare highquality RCSA summaries dashboards control performance metrics and risk profiles for senior risk committees business executives and regulators.
  • Provide meaningful insights and trends related to emerging risks control weaknesses or concentration areas across business units.
  • Support governance activities such as risk committee meetings compliance reviews and exam preparation.
• Stakeholder Engagement
  • Act as a trusted advisor to business leaders risk partners compliance internal audit and issue management teams.
  • Educate frontline and control owners on RCSA requirements regulatory expectations and operational risk best practices.
  • Build strong relationships across firstline and secondline functions to ensure a culture of risk awareness and accountability.

Core Responsibilities
1. Leads enterprise-level control initiatives across multiple business lines. Designs and implements scalable control frameworks that ensure compliance with regulatory requirements and internal policies.
2. Provides strategic guidance on risk identification measurement and mitigation. Develops and refines control management programs that align with enterprise risk tolerance and business objectives.
3. 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.
4. 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.
5. 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.
6. Maintains deep knowledge of Vanguards business operations regulatory landscape and industry trends. Applies this knowledge to anticipate risks and proactively shape control strategies.
7. 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. Graduate degree preferred.

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.