Internal Audit Senior Engagement Manager-Financial Advisor Services

Vanguard’s Internal Audit & SOX department has an exciting opportunity for a Senior Engagement Manager – on our Business and Corporate Audit Services team, which includes audit coverage of Vanguard’s US distribution business areas.

In the Internal Audit Senior Engagement Manager role, you will be a subject matter expert for the Financial Advisor Services (FAS) division and intermediary business, and lead teams to complete risk-based audits and consulting engagements to evaluate management’s internal controls and influence senior levels of management to take action to improve the control environment.

You will also collaborate with stakeholder groups across divisions and be instrumental in developing, implementing, and executing the audit coverage strategy for key risk topics. We look for individuals who can think critically and conceptually, have excellent project management, relationship management, communication, influence, judgement, and decision-making skills.

Responsibilities:

• Serves as trusted advisor and consultant to the department and business leaders to share knowledge and perspective on topics related to governance, risk, control, and areas of expertise.
• Manages audit and consulting engagements to ensure the timely delivery of the highest quality work and value-add recommendations.
• May lead multiple engagement teams concurrently working in a matrixed team environment.
• Supports completing the related annual/ongoing risk assessments and creation of the audit and advisory plan for the aligned division(s) / functional area(s)
• Communicates and clearly articulates the objectives, status, and results of assigned work to various levels of management. Influences management to act on recommendations to strengthen the control environment and make process improvements.
• Establishes and maintains relationships with management across aligned business division(s) and functional area(s) and risk partners.
• Develops a thorough and comprehensive understanding of the processes, issues, pertinent regulations, and risks associated with engagement scope.
• Assesses the adequacy of the control environment, identify control gaps and opportunities for continuous improvement and relates it division and enterprise-wide, as appropriate. Performs audit work and analysis on complex audit areas. Provides opinion on audit and advisory findings, ratings, and recommendations to senior management.
• Communicates expectations and review work of audit team to provide coaching and feedback to aid in their development.
• Participates in special projects and performs other duties as assigned.

Qualifications:

• Minimum of five years related work experience. Audit, risk, or controls experience preferred.
• Undergraduate degree or equivalent combination of training and experience. Graduate degree preferred.
• CIA, CPA, or other financial designation preferred.
• Demonstrated knowledge of and/or experience with sales operations and/or Financial Advisor

• Services (FAS) business areas and operations.
• Ability to present findings and industry insights to senior leaders across the company.
• Proven ability to work in a sophisticated, fast-paced environment with strong inherent project execution skills, including prioritizing tasks, balancing workload between multiple projects, anticipating next steps, adapting to changing situations and project scope.
• Demonstrated self-starter who can work independently to identify risks and potential issues that would influence the direction of the audit plan.
• Excellent relationship skills and client focused mindset; proven influencing skills
• Track record of developing and driving innovation and efficiencies by challenging the status quo and using agile methodologies, data analysis, and innovative work practices

This position is hybrid and would require you to be local to our Chesterbrook, PA office.

Special Factors

Sponsorship

Vanguard is not offering visa sponsorship for this position.

About Vanguard

We are Vanguard. Together, we’re changing the way the world invests.

For us, investing doesn’t just end in value. It starts with values. Because when you invest with courage, when you invest with clarity, and when you invest with care, you can get so much more in return. We invest with purpose – and that’s how we’ve become a global market leader. Here, we grow by doing the right thing for the people we serve. And so can you.

We want to make success accessible to everyone. This is our opportunity. Let’s make it count.

Inclusion Statement

Vanguard’s continued commitment to diversity and inclusion is firmly rooted in our culture. Every decision we make to best serve our clients, crew (internally employees are referred to as crew), and communities is guided by one simple statement: “Do the right thing.”

We believe that a critical aspect of doing the right thing requires building diverse, inclusive, and highly effective teams of individuals who are as unique as the clients they serve. We empower our crew to contribute their distinct strengths to achieving Vanguard’s core purpose through our values.

When all crew members feel valued and included, our ability to collaborate and innovate is amplified, and we are united in delivering on Vanguard’s core purpose.

Our core purpose: To take a stand for all investors, to treat them fairly, and to give them the best chance for investment success.

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.